投资者律师博客股票经纪人欺诈：摩根士丹利起诉罪名成立的前经纪人，前韦尔斯·法戈经纪人恳求有罪，前约翰·托马斯金融经纪人逃避了客户投诉
摩根士丹利Files Lawsuit Against Ex-Broker Convicted in Kickback Scam
摩根士丹利(MS)正在起诉前经纪人达林·德米齐奥（Darin Demizio）缴纳法律费用。Demizio因参与回扣计划而被定罪。现在，这家金融公司希望他偿还法律支出，因为它说他故意欺骗经纪人交易商，并在那里工作时隐藏了欺诈行为。
DeMizio was convicted five years ago for his scheme to pay kickbacks of $1.7 million to his brother and dad. He was sentenced to 38 months behind bars and ordered to pay Morgan Stanley $1.2 million in restitution.
前摩根士丹利和富国银行经纪人在检查欺诈骗局中认罪，涉及老年寡妇
Adorean Boleancu, a former Morgan Stanley and Wells Fargo (WFC) broker, has entered a guilty plea to wire fraud charges related to a $1.8 million check fraud scheme. His victim was a widow in her eighties. Boleancu admitted that he wrote checks without authorization on her home equity lines of credit and her brokerage account. The checks included payments to his relatives, a significant others, and companies where he had credit card accounts.
根据检察官的说法，Boleancu在2007年为投资者Tonna Treadwell设立帐户时，正在为摩根士丹利（Morgan Stanley）工作。一年后，他离开了公司，但在他是Wells Fargo的经纪人时一直从她的帐户进行检查。
Boleancu has repaid Treadwell $650,000. As part of a civil settlement with the Financial Industry Regulatory Authority, he agreed to be banned from the industry.
Ex-John Thomas Financial Broker Avoids Customer Complaints With Bankruptcy Filing
斯科特·莱文（Scott Levine）是前约翰·托马斯（John Thomas）的金融经纪人，在他申请破产保护后对他的投诉中得到了暂时的缓刑。由于提交文件，五个命名为他的客户投诉现在被冻结了近500万美元的损失索赔。
The allegations against Levine involve purportedly unsuitable investments, private placements, and churning. His former firm, John Thomas Financial, was expelled by FINRA. However Levine continues to work as a broker with IAA Financial.
Under Section 362 of the U.S Bankruptcy Code, administrative actions and litigation are frozen so that those who are in financial trouble can financially recover. Now, however, some investor fraud lawyers are saying that the code is letting brokers continue to stay employed while the customer complaints again them wallow in bankruptcy court.
In FINRA’s BrokerCheck database, complaints directed to a bankrupt broker end up being marked “pending.” Arbitrators can’t rule on them until a bankruptcy judge lifts the order to freeze the claims.
Ourstockbroker fraud law firmis here to help investors get back their losses. Contact Shepherd Smith Edwards and Kantas, LTD LLP today.
经纪人躲避破产的客户投诉，投资新闻，2014年5月29日
摩根士丹利起诉判定有罪的前经纪人的法律费用, Bloomberg, May 27, 2014
Ex-Wells, Morgan Stanley broker pleads guilty in check fraud scheme, Reuters, September 17, 2013
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