Karen McKinley (also known as Karen Ann Boggess) of Manchester New Hampshire a stockbroker formerly employed by Morgan Stanley is the subject of administrative proceedings initiated by Securities and Exchange Commission (SEC) in which the regulator is determining whether to bar McKinley from being a stockbroker or investment advisor based on McKinley pleading guilty to…
Karen McKinley, of Manchester, New Hampshire, a stockbroker formerly registered with Morgan Stanley, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she obstructed a FINRA investigation into allegations of potential non-compliance regarding trading in customer accounts that was referenced by…