Tag Archives: Peter Michael Riley

Investors Accuse Morgan Stanley Of Unauthorized Trading

August 28, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Peter Michael Riley of Plano Texas a stockbroker formerly registered with Morgan Stanley is the subject of a customer initiated investment related complaint which was resolved for $20,000.00 on July 19, 2018 based upon accusations that unauthorized stock trades were executed in the customer’s account by Riley between March of 2013 and May of 2018. […]

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Morgan Stanley Stockbroker Barred By Regulator

September 15, 2017  |   Posted by :   |   Forgery   |   0 Comments

Peter Michael Riley, of Plano, Texas, a stockbroker formerly registered with Morgan Stanley Smith Barney, LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that he neglected to respond to FINRA’s request for information concerning his business activities. Case No. 2016051087301 (Jan. 9, […]

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