{"id":6610,"date":"2018-10-11T17:58:52","date_gmt":"2018-10-11T17:58:52","guid":{"rendered":"http:\/\/www.investorlawyers.com\/?p=6610"},"modified":"2018-10-11T17:58:52","modified_gmt":"2018-10-11T17:58:52","slug":"finra-bars-former-morgan-stanley-and-wells-fargo-brokers","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/","title":{"rendered":"FINRA Bars Former Morgan Stanley and Wells Fargo Brokers"},"content":{"rendered":"<p>\t\t\t\tThe Financial Industry Regulatory Authority announced this week that it is barring three former brokers. They are ex-<a href=\"https:\/\/www.investorlawyers.com\/investor-claims\/brokerage-firm-misconduct\/morgan-stanley\/\" target=\"_blank\" rel=\"noopener noreferrer\">Morgan Stanley broker (MS)<\/a> Kevin Smith and former Wells Fargo (WFC) brokers Wilfred Rodriquez Jr. and Thomas A. Davis.<\/p>\n<h4>According to the self-regulatory authority\u2019s order, the bar against Smith comes after he wouldn\u2019t appear before FINRA to testify regarding allegations involving a structured products trade in a family member\u2019s trust that he may have executed without checking with the client first.<\/h4>\n<p>Morgan Stanley fired Smith in 2016 in the wake of the <a href=\"https:\/\/www.investorlawyers.com\/investor-claims\/broker-misconduct\/\" target=\"_blank\" rel=\"noopener noreferrer\">broker fraud<\/a> allegations.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/\"  title=\"Continue Reading FINRA Bars Former Morgan Stanley and Wells Fargo Brokers\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>The Financial Industry Regulatory Authority announced this week that it is barring three former brokers. They are ex-Morgan Stanley broker (MS) Kevin Smith and former Wells Fargo (WFC) brokers Wilfred Rodriquez Jr. and Thomas A. Davis. According to the self-regulatory authority\u2019s order, the bar against Smith comes after he wouldn\u2019t appear before FINRA to testify [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":6584,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3762,3752,3739,4049,3787,3836],"tags":[2283,3022],"class_list":["post-6610","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-current-investigations","category-financial-firms","category-finra","category-industry-bars","category-morgan-stanley","category-wells-fargo","tag-morgan-stanley","tag-wells-fargo"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>FINRA Bars Former Morgan Stanley and Wells Fargo Brokers &#8212; Investor Lawyers Blog &#8212; October 11, 2018<\/title>\n<meta name=\"description\" content=\"The Financial Industry Regulatory Authority, FINRA, announced this week that it is barring three former brokers. They are ex-Morgan Stanley broker (MS) Kevin Smith and former Wells Fargo (WFC) brokers Wilfred Rodriquez Jr. and Thomas A. Davis.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Former Morgan Stanley and Wells Fargo Brokers &#8212; Investor Lawyers Blog &#8212; October 11, 2018\" \/>\n<meta name=\"twitter:description\" content=\"The Financial Industry Regulatory Authority, FINRA, announced this week that it is barring three former brokers. They are ex-Morgan Stanley broker (MS) Kevin Smith and former Wells Fargo (WFC) brokers Wilfred Rodriquez Jr. and Thomas A. Davis.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.25.18.jpeg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Former Morgan Stanley and Wells Fargo Brokers &#8212; Investor Lawyers Blog &#8212; October 11, 2018","description":"The Financial Industry Regulatory Authority, FINRA, announced this week that it is barring three former brokers. They are ex-Morgan Stanley broker (MS) Kevin Smith and former Wells Fargo (WFC) brokers Wilfred Rodriquez Jr. and Thomas A. Davis.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Former Morgan Stanley and Wells Fargo Brokers &#8212; Investor Lawyers Blog &#8212; October 11, 2018","twitter_description":"The Financial Industry Regulatory Authority, FINRA, announced this week that it is barring three former brokers. They are ex-Morgan Stanley broker (MS) Kevin Smith and former Wells Fargo (WFC) brokers Wilfred Rodriquez Jr. and Thomas A. Davis.","twitter_image":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.25.18.jpeg","twitter_misc":{"Written by":"Shepherd Smith Edwards &amp; Kantas, LLP","Est. reading time":"3 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"FINRA Bars Former Morgan Stanley and Wells Fargo Brokers","datePublished":"2018-10-11T17:58:52+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/"},"wordCount":553,"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.25.18.jpeg","keywords":["Morgan Stanley","Wells Fargo"],"articleSection":["Current Investigations","Financial Firms","FINRA","Industry Bars","Morgan Stanley","Wells Fargo"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/","url":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/","name":"FINRA Bars Former Morgan Stanley and Wells Fargo Brokers &#8212; Investor Lawyers Blog &#8212; October 11, 2018","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/#primaryimage"},"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-former-morgan-stanley-and-wells-fargo-brokers\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.25.18.jpeg","datePublished":"2018-10-11T17:58:52+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"The Financial Industry Regulatory Authority, FINRA, announced this week that it is barring three former brokers. 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