Tag Archives: Robert N. Newman

Investors Accuse Morgan Stanley Stockbroker Of Unauthorized Trading

November 24, 2019  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Robert N. Newman of Los Angeles California a stockbroker currently registered with Morgan Stanley is the subject of a customer initiated investment related written complaint on May 20, 2019 where the customer sought $89,400.00 in damages founded on accusations that exchange traded funds and stocks had been traded by the stockbroker between 2005 and July […]

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Morgan Stanley Broker Suspended For Unauthorized Trading

May 29, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Robert N. Newman of Los Angeles California a stockbroker currently employed by Morgan Stanley Smith Barney has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that executed trades in a customer’s account without securing the customer’s permission. Letter of Acceptance […]

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