FINRA Bars Morgan Stanley’s Stewart Malloy For Failure To Testify In Investigation Stewart Clinton Malloy (CRD#: 1029931, Riverhead, New York) is a now-terminated Morgan Stanley broker who the Financial Industry Regulatory Authority (“FINRA”) barred on January 19, 2019 for his failure to attend an on-the-record interview during an investigation into his trading practices. Evidently, FINRA’s […]

Customers Allege UBS, Fernando Rivera Misrepresented Securities Fernando Luis Castillo Rivera (CRD#: 1260734, San Juan, Puerto Rico) has been a registered representative of UBS Financial Services Inc. since June 6, 1984. Rivera disclosed on Financial Industry Regulatory Authority (“FINRA”) BrokerCheck that his activities have led customers to file FINRA Arbitration #14-02509, alleging Rivera committed sales […]

Soreide Law Group, based in South Florida, obtained the following information from FINRA’s website under, “Disciplinary and Other FINRA Actions May 2018:”  Matthew Singer (Matthew Sam Singer)(CRD #4972708, Aventura, Florida) Singer was barred from association with any FINRA member in all capacities due to the fact that he allegedly refused to appear for FINRA on-the-record […]