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Tiffany Keigley of Morgan Stanley Barred by FINRA
Tiffany Keigley of Tulsa, Oklahoma was “discharged” by Morgan Stanley in October 2024. In particular, Morgan Stanley alleged that it terminated Keigley’s registration surrounding allegations that she distributed “funds from a client’s account for the registered representative’s benefit”, according to FINRA’s BrokerCheck. If you lost money, you may be able to file a claim to recover losses.
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.