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…
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…