Tag Archives: Terry Lee McCoy

FINRA Bars Morgan Stanley Principal For Bad Supervision

June 25, 2018  |   Posted by :   |   Failure To Supervise, Investment and Regulatory News   |   0 Comments

Terry Lee McCoy of Palm Harbor Florida a stockbroker and supervisor employed by Morgan Stanley has been fined $75,000.00 and barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any principal capacity based upon consenting to findings that he failed to supervise two registered representatives that placed excessive and unsuitable trades in […]

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