{"id":4574,"date":"2008-02-27T16:17:51","date_gmt":"2008-02-27T16:17:51","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2008\/02\/finra_says_exmorgan_stanley_st"},"modified":"2022-03-28T14:24:27","modified_gmt":"2022-03-28T19:24:27","slug":"finra-says-exmorgan-stanley-st","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-says-exmorgan-stanley-st\/","title":{"rendered":"FINRA Says Ex-Morgan Stanley Stockbroker Misappropriated Nearly $400,000 From 97-Year-Old Widow"},"content":{"rendered":"

The Financial Industry Regulatory Authority is charging stockbroker John Mullins with misappropriating nearly $400,000 from an elderly widow and her charitable foundation. Esther Weil, a 97-year-old widow, died earlier this month. She was living in a nursing home. Mullins was her stockbroker for over 20 years.<\/p>\n

Mullins allegedly tried to conceal his status with his elderly client’s charitable foundation. John and his wife Kathleen were the trustees of Weil’s nonprofit foundation-a relationship that is prohibited by Morgan Stanley’s firm policies. Morgan Stanley employed the Mullins from 2002-2006. The company fired them after it was discovered that they were violating company policies.<\/p>\n

John is accused of allegedly misappropriating funds from his employer for improper expenses, making misstatements on his firm’s yearly compliance questionnaires and Form U4, and accepting an unauthorized $100,000 loan from a client.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The Financial Industry Regulatory Authority is charging stockbroker John Mullins with misappropriating nearly $400,000 from an elderly widow and her charitable foundation. Esther Weil, a 97-year-old widow, died earlier this month. She was living in a nursing home. Mullins was her stockbroker for over 20 years. Mullins allegedly tried to conceal his status with his […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3773,3739,3803],"tags":[],"class_list":["post-4574","post","type-post","status-publish","format-standard","hentry","category-broker-fraud","category-finra","category-senior-investors"],"yoast_head":"\nFINRA Says Ex-Morgan Stanley Stockbroker Misappropriated Nearly $400,000 From 97-Year-Old Widow — Investor Lawyers Blog — February 27, 2008<\/title>\n<meta name=\"description\" content=\"The Financial Industry Regulatory Authority is charging stockbroker John Mullins with misappropriating nearly $400,000 from an elderly widow and her — February 27, 2008\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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