Allegations Against Gregory Matthews

In May 2025, Gregory Matthews was fired by Morgan Stanley in New York.  BrokerCheck discloses “Allegations related to exercise of discretion without prior written authorization in four customer accounts, frequency of trading, and accuracy of order tickets marked unsolicited”.

That led FINRA to open its own investigation into Gregory Matthews’ conduct.  Matthews refused to cooperate with FINRA, and he was barred under FINRA Rule 8210.

Background on Gregory Matthews

Gregory Matthews was licensed with Morgan Stanley from May 2016 to May 2025.   He worked in a New York, New York office. He was also censured by the NASD (FINRA’s predecessor) in 2004 and fined $7,500. 

Is Morgan Stanley Liable for its Advisors’ Conduct?

FINRA standards provide that brokerage firms like Morgan Stanley must reasonably supervise the activities of their financial advisors.   Firms that fail to do so could be responsible for investor losses. 

We Help Investors Recover Money in New York

We represent investors throughout the United States as well as New York, who have been victims of broker misconduct, unsuitable investment recommendations, and fraud. If you were a client of Gregory Matthews and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Matthews’s BrokerCheck Report
• View Matthews’s FINRA AWC

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

Pursuant to securities rules and regulations, Morgan Stanley is required to notify FINRA when an advisor is terminated, especially if it alleges potential violations of securities rules and regulations.   This very likely led to FINRA to begin its own investigation into the allegations surrounding Keigley.  After Keigley refused to cooperate with FINRA’s investigation, it led to him being barred from the securities industry.

Who is Advisor Tiffany Keigley?

From 2009 to October 2024, Tiffany Keigley had been a representative of Morgan Stanley.  She was assigned to an Tulsa, Oklahoma office.  Moreover, Keigley was the subject of a customer complaint made in November 2024, alleging that she transferred money out of the customer’s account.  This matter settled for $108,000.

Responsibility for Keigley’s Conduct

FINRA Rule 3110 provides that securities brokerage firms have to reasonably supervise their representatives.  If Morgan Stanley failed to do so, it could be responsible for any financial damages. 

We Help Investors in Oklahoma

Our securities arbitration law firm represents investors throughout the country, including in Oklahoma and the Tulsa area.  If you were a client of Tiffany Keigley and believe she acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Tiffany Keigley FINRA AWC
• View her BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights and speak directly to an experienced attorney.

FINRA then opened its own investigation into Salim and sent him requests for documents and information.  FINRA alleged that he ceased responding to the investigation and refused to appear for on-the-record testimony.  As such, pursuant to FINRA Rule 8210, FINRA barred this advisor from the securities industry.

Mohammed Salim’s Record

From November 2022 to October 2024, Mohammed Salim had been a representative of Morgan Stanley.  He was assigned to a New York, New York office.  Salim was also registered with Charles Schwab from November 2021 to November 2022, and with Merrill Lynch from May 2019 to October 2021. 

Who is Responsible for Supervising this Advisor?

Brokerage firms have obligations to reasonably supervise the conduct of their financial advisors.  If the brokerage firm fails to adequately do so, it could be held responsible for any investor losses.

New York Securities Attorney

Israels & Neuman represents investors throughout the country, including in New York and the greater New York City metropolitan area.  If you were a client of Mohammed Salim and believe he acted improperly, you may be entitled to recover losses through FINRA arbitration.

• View Mohammed Salim FINRA AWC
• View his BrokerCheck Report

Contact Us for a Free Case Evaluation

Call us today at (720) 599-3505 or (206) 795-5798 or fill out our contact form to learn more about your rights.

TUCSON, ARIZONA Are you a former client of Ronald Diaz of Morgan Stanley in Tucson, Arizona? He was charged with wire fraud by the U.S. Attorney’s Office for the District of Arizona and recently pleaded guilty to the charges. His sentencing hearing is set for September 27, 2024.

According to the U.S. Attorney’s office, Diaz misappropriated $970,000 from an elderly customer between November 2020 and July 2022. Diaz represented that he was investing the money in an annuity, but instead used the money to pay for a Range Rover, credit card debt, his mortgage, and remodeling his swimming pool.

Ronald Diaz worked in Tucson, Arizona and was licensed with Morgan Stanley June 2019 to January 2023.

Morgan Stanley had obligations to reasonably supervise Mr. Diaz’s conduct. If the firm failed to do so, they can be liable for investor losses.

The U.S. Attorneys Office Press Release regarding Ronald Diaz can be found HERE.

BrokerCheck report can be found HERE.

If you lost money with Ronald Diaz or Morgan Stanley, please Contact Us at 206-795-5798 for a free evaluation of your case.

POUGHKEEPSIE, NEW YORK Did you invest with Kwame Adusei in Poughkeepsie, New York? Israels & Neuman is reviewing allegations with respect to Kwame Adusei, who previously was licensed with Morgan Stanley. He was expelled from the securities brokerage industry in March 2024 by FINRA after he failed to respond to FINRA’s investigation.

In July 2023, Adusei was fired by Morgan Stanley regarding allegations that he made unauthorized transactions in a customer account and participated in an outside residential property investment. This prompted FINRA to begin its investigation in December 2023. When he failed to respond to FINRA’s investigation, he was barred in March 2024. In addition, he has also been the subject of two customer complaints.

Kwame Adusei was registered with Morgan Stanley from January 2022 to July 2023. He was also previously affiliated with J.P. Morgan Securities and worked in Poughkeepsie, New York.

Our securities arbitration law firm has represented thousands of investors in the past against numerous brokerage firms.

BrokerCheck Report can be found HERE

If you lost money with Kwame Adusei, or Morgan Stanley, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

CONSHOHOCKEN, PENNSYLVANIA Are you a former customer of financial advisor Joel Freedman from West Conshohocken, Pennsylvania? The securities and investment fraud law firm of Israels & Neuman is reviewing allegations made against Joel Freedman, who was fired by his brokerage firm, Morgan Stanley in March 2024.

The firm fired the advisor after it was alleged that he engaged in discretionary trading in a customer account without written authorization to do so. Freedman also failed to timely notify Morgan Stanley of this complaint. The customer eventually settled the case for $1.3 million.

Joel Freedman had been with Morgan Stanley from 2009 to March 2024. He worked in a West Conshohocken, Pennsylvania branch office and had been in the securities industry since 1996.

Morgan Stanley is a FINRA member firm and must have written supervisory and compliance procedures, under securities rules and regulations. If brokerage firms fail to reasonably supervise their advisors, they may be liable for customer losses.

Our firm has represented numerous investors throughout Pennsylvania and have sued dozens of brokerage firms in the past, recovering millions of dollars for our clients.

View BrokerCheck report here.

If you lost money with Joel Freedman or Morgan Stanley, please Contact Us at 206-795-5798 for a free evaluation of your case.

ALPHARETTA, GEORGIA Are you a former client of financial advisor Matthew Chimento in Alpharetta, Georgia? Israels & Neuman is reviewing allegations against this broker, who previously worked with Morgan Stanley (Prudential). He was barred from the securities industry by FINRA, according to FINRA’s Disciplinary Database.

In November 2023, Matthew Chimento voluntarily resigned from Morgan Stanley while he was under an internal investigation. According to BrokerCheck, he allegedly transferred funds out of a client’s account and placed it into an account for his own benefit, without the client’s authorization, (breach of fiduciary duty), which led to the FINRA investigation. After failing to respond to FINRA’s investigation, he was barred.

Matthew Chimento was registered with Morgan Stanley from March 2023 to November 2023 and worked in Alpharetta, Georgia. He also previously worked for E*Trade for five years.

Israels & Neuman has represented thousands of investors in the past, including numerous investors in Georgia. We have represented investors against numerous brokerage firms, including against Morgan Stanley.

View FINRA AWC HERE View BrokerCheck Report HERE

If you lost money with Matthew Chimento, or Morgan Stanley, contact the law firm of ISRAELS & NEUMAN at (206) 795-5798 for a Free evaluation of your case.

Brian Reilly was with MML Investors Services from January 2020 to September 2021. He was also with Pruco Securities from February 2019 to December 2019 and with Morgan Stanley from December 2015 to July 2017. He has worked at branch offices in Warren, New Jersey.

Brokerage firms like MML Investors Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Jersey. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against MML Investors Services.

Click to view Brian Reilly BrokerCheck Report

If you lost money with Brian Reilly or MML Investors Services, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.