Tag Archives: Matthew M. Serth

Morgan Stanley Broker Suspended For Unauthorized Trading

August 15, 2017  |   Posted by :   |   Unauthorized Trading   |   0 Comments

Matthew M. Serth, of McClean, Virginia, a stockbroker formerly registered with Morgan Stanley, has been fined and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he effected unauthorized transactions in customers’ accounts. Letter of Acceptance, Waiver and Consent, No. 2016051495801 (July 31, 2017). […]

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