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FINRA Bars Former Morgan Stanley Financial Advisor After Refusal to Cooperate with Investigation

Posted on March 26th, 2026 at 11:58 AM
FINRA Bars Former Morgan Stanley Financial Advisor After Refusal to Cooperate with Investigation

From the desk of Jim Eccleston at Ä¢¹½´«Ã½

The Financial Industry Regulatory Authority (FINRA) has barred former Morgan Stanley financial advisor Gregory V. Matthews after he declined to provide documents and information requested in a regulatory investigation tied to his termination, according to ThinkAdvisor.

Matthews agreed to the bar through a FINRA Acceptance, Waiver and Consent (AWC) letter. In the agreement, he accepted the sanction without admitting or denying its findings.

According to ThinkAdvisor, Morgan Stanley terminated Matthews in June following allegations involving the exercise of discretion without prior written authorization in four customer accounts. The firm also cited concerns related to trading frequency and the accuracy of order tickets having been marked as unsolicited, according to disclosures listed on Matthews' BrokerCheck record.

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Tags: eccleston, eccleston law, finra investigation, morgan stanley, broker misconduct, securities law, regulatory enforcement

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