Firm Executives Reportedly Were Aware of Domestic Violence Allegations Against High-Earning Morgan Stanley Broker for Years

根据纽约时报， 虽然摩根士丹利（MS）高管多年来就对道格拉斯·格林伯格（Douglas E.但是，之后纽约时报试图联系有关他的公司，格林伯格终于被暂停，等待审查。现在，媒体报道格林伯格已被解雇。尽管如此，鉴于他直到现在才被放开，许多前摩根士丹利经纪人的EXES仍保留了自己的律师。

四个妇女挺身而出，指责他家庭虐待。Court filings indicate that not only did Greenberg’s accusers go to the police seeking protection against the now former Morgan Stanley financial adviser, but also, according to one of the women’s attorneys, the firm was issued a federal subpoena notifying it about at least one of the allegations. Morgan Stanley was also aware that Greenberg was charged for allegedly violating a restraining order.

Still, no action was taken against Greenberg, who belonged Morgan Stanley’s exclusive Chairman’s Club as one of the firm’s highest earning brokers. Ironically, the members of this club are expected to maintain certain standards when it comes to “conduct and compliance.” Greenberg is considered one of the leading wealth managers in Oregon. Firmwide, he was among Morgan Stanley’s top 2% of brokers when it came to bringing in revenue.

对于投资者而言，重要的是要相信他们的经纪人是代表他们诚信的人。公司可以承担责任监督不足。作为纽约指出，金融行业的监管机构和公司要“警察”员工的行为。报纸报道说，根据FINRA的网站，格林伯格以前被指控盗窃，但该案被驳回。还驳回了对一级犯罪恶作剧的指控。他曾参与两个客户纠纷，不得不支付监管罚款。在2000年的仲裁程序中，格林伯格承认诽谤，但限制法规已经通过。

什么时候监督不足of a broker results in investor losses, there may be grounds for a securities fraud case against the broker and/or the firm. Broker-dealers are responsible for making sure that their brokers are representatives that will act responsibly on their clients’ behalf.

联系我们经纪欺诈律师事务所今天探索您的法律选择。您最初与Shepherd Smith Edwards和Kantas，Ltd LLP是免费的，没有义务案件评估。

摩根士丹利（Morgan Stanley）知道一名明星所谓的虐待。他仍然在那里工作，纽约时报，2018年3月28日

摩根士丹利解雇了被指控虐待的经纪人，巴伦，2018年4月4日

SSEK律师事务所的更多博客文章：

SEC指责经纪人为某些客户提供优惠的IPO访问，以换取超过100万美元的回扣，股票经纪人欺诈博客，2018年1月2日