Tag Archives: Stephen Sloane

Former Morgan Stanley Stockbroker Barred By FINRA For Bilking Customers

December 22, 2020  |   Posted by :   |   Bond Fraud, Excessive Markups, Excessive Trading, Investment and Regulatory News, Unsuitable Investment Recommendations   |   Comments Off on Former Morgan Stanley Stockbroker Barred By FINRA For Bilking Customers

Stephen Sloane of New York New York a stockbroker formerly registered with WestPark Capital Inc. and Morgan Stanley has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on a Decision issued by FINRA’s Office of Hearing Officers who found that Sloane made unsuitable investment recommendations to customers […]

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FINRA Charges Morgan Stanley Stockbroker With Misconduct

July 29, 2020  |   Posted by :   |   Bond Fraud, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on FINRA Charges Morgan Stanley Stockbroker With Misconduct

Stephen Sloane of New York New York a stockbroker employed by Morgan Stanley has been identified in a FINRA Department of Enforcement Complaint where the regulator is seeking sanctions including a fine and suspension against Sloane for providing unsuitable investment recommendations to customers and for charging them excessive fees for trades that he executed at […]

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