For the third time this month, The Financial Industry Regulatory Authority has announced that it has barred yet another Morgan Stanley (MS) broker. The brokerage firm had fired financial adviser Bruce Plyer in late 2016 in the wake of allegations that he executed trades in a client’s account without authorization. Now, the self-regulatory organization is barring Plyer after he failed to appear and give testimony into FINRA’s probe into the matter.
Plyer has accepted and consented to FINRA’s findings, but he is not admitting to or denying any of them.
After being let go from Morgan Stanley, he was registered for a short time with International Assets Advisory until he left the industry early last year.