Finra bars former Morgan Stanley adviser over hearing no-show

Regulator was investigating Matthew Singer's options recommendations.
MAR 27, 2018

The Financial Industry Regulatory Authority Inc. has barred former Morgan Stanley broker Matthew Singer for failing to appear at a hearing in connection with a Finra investigation. The regulator was looking into whether Mr. Singer and others made unsuitable options recommendations to customers. On March 14, 2016, Morgan Stanley filed a Form U5 termination notice, listing the reason for Mr. Singer's termination as "concerns" regarding his conduct in a client arbitration matter. Mr. Singer, now associated with a clothing company in Miami, was with the Aventura, Fla., office of Morgan Stanley from 2013 to 2016. He began his securities career in 2006 and worked at seven firms before joining Morgan Stanley.

Latest News

The power of cultivating personal connections
The power of cultivating personal connections

Relationships are key to our business but advisors are often slow to engage in specific activities designed to foster them.

A variety of succession options
A variety of succession options

Whichever path you go down, act now while you're still in control.

'I’ll never recommend bitcoin,' advisor insists
'I’ll never recommend bitcoin,' advisor insists

Pro-bitcoin professionals, however, say the cryptocurrency has ushered in change.

LPL raises target for advisors’ bonuses for first time in a decade
LPL raises target for advisors’ bonuses for first time in a decade

“LPL has evolved significantly over the last decade and still wants to scale up,” says one industry executive.

What do older Americans have to say about long-term care?
What do older Americans have to say about long-term care?

Survey findings from the Nationwide Retirement Institute offers pearls of planning wisdom from 60- to 65-year-olds, as well as insights into concerns.

SPONSORED The future of prospecting: Say goodbye to cold calls and hello to smart connections

Streamline your outreach with Aidentified's AI-driven solutions

SPONSORED A bumpy start to autumn but more positives ahead

This season’s market volatility: Positioning for rate relief, income growth and the AI rebound