从2022年8月26日开始，金融行业监管局（FINRA）已禁止前摩根士丹利经纪人道格·马歇尔·麦凯维（Doug Marshall McKelvey）。这项决定是在前德克萨斯州财务顾问拒绝提供自我调节组织（SRO）要求的信息之后，在后者对经纪人销毁他在2022年4月对他的解雇的询问中。
摩根士丹利声称他们终止了麦凯维的工作，因为据称他从客户的帐户中挪用了资金并从事未经授权的活动。麦凯维同意芬拉的调查结果，导致永久性和无限期的酒吧。
Our broker misconduct lawyers are looking into claims of losses by investors who were marketed and sold products from St. George’s, Ltd. The Bermuda-based life insurance company has been in liquidation proceedings since 2019. Its owner, Ramesh Dusoroth, is accused of defrauding investors of millions of dollars.
这项涉及圣乔治有限公司的努力的联合临时清算人是约翰·约翰斯顿（John Johnston）和德勤有限公司的雷切尔·弗里斯比（Rachel Frisby）。Northstar金融服务（百慕大），这是另一家离岸公司，这是许多外国国民造成投资损失的原因。北极星（Bermuda）的老板格雷格·林德伯格（Greg Lindberg）现在正在监狱中，他也可能挪用了投资者的钱。
仅几周最终危机由新颖的冠状病毒（Covid-19）造成的，许多投资者不仅努力应对这种流行病的动荡，不仅对市场，而且对他们的投资组合也对此。
But what many of them don’t know is that some of these losses might not have been as severe if only their brokers had refrained from making investment recommendations that were unsuitable for them or, at the very least, had properly apprised them of the risks involved.
投资者律师博客