Former Morgan Stanley Broker, STEWART CLINTON MALLOY, Barred by FINRA Soreide Law Group, based in Florida, obtained the following information from FINRA’s website listed under, “Disciplinary and Other FINRA Actions,” March 2019: STEWART CLINTON MALLOY (CRD #1029931, The Villages, Florida) According to FINRA, an Office of Hearing Officers (OHO) decision became final in which STEWART […]

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 […]