Morgan Stanley & Co. LLC

Morgan Stanley & Co. LLC Securities Attorney

October 20, 2026 | by Staff Attorney

The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as Morgan Stanley & Co. LLC. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.

Morgan Stanley & Co. LLC is the institutional securities broker-dealer of Morgan Stanley, providing securities underwriting, advice on mergers, acquisitions, and restructurings, sales, trading, and market making in equities and fixed income, and prime brokerage services. The firm serves a large and diversified group of corporations, governments, and financial institutions and is also registered as a futures commission merchant and swap dealer.

Morgan Stanley & Co. LLC – By the Numbers:

Broker Michael Crabb in Morgan Stanley & CO. LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Crabb (Crabb), previously associated with Morgan Stanley & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crabb recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 12, 2021.

Plaintiff alleges, inter alia, breach of duty and bad faith in connection with its investment banking relationship with Morgan Stanley. 2018-2020.

Broker Joan Marron in Morgan Stanley & CO. LLC Firm Has Customer Complaint

February 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joan Marron (Marron), currently associated with Morgan Stanley & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marron recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 12, 2021.

Plaintiff alleges, inter alia, breach of duty and bad faith in connection with its investment banking relationship with Morgan Stanley. 2018-2020.

Broker Pawan Passi in Morgan Stanley & CO. LLC Firm Has Customer Complaint

August 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pawan Passi (Passi), previously associated with Morgan Stanley & CO. LLC, has at least one disclosable event. These events include one regulatory event, alleging that Passi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 12, 2024.

The Securities and Exchange Commission (‘Commission’) deems it appropriate and in the public interest that public administrative and cease-and-desist proceedings be, and hereby are, instituted pursuant Sections 15(b) and 21C of the Securities Exchange Act of 1934 (‘Exchange Act’) against Pawan Kumar Passi (‘Passi’ or ‘Respondent’). The Commission finds that this matter involves fraudulent conduct perpetrated by Pawan Passi, formerly the head of Morgan Stanley & Co. LLC’s (‘Morgan Stanley’) Equity Syndicate Desk in the Americas (‘Syndicate Desk’), involving large blocks of stock that the investment banking firm purchased from investors in such securities (the ‘selling shareholders’). From at least June 2018 through August 2021 (the ‘Relevant Period’), Passi disclosed to certain buy-side investors non-public, potentially market-moving information, concerning impending ‘block trades’ that the firm had been invited to bid on or was in the process of negotiating with the selling shareholders. Those buy-side investors used such information to ‘pre-position’-or take a short position in-the stock that was the subject of the upcoming block trade. Such disclosures by Passi violated the selling shareholders’ expectations of-and, in certain instances, express requests for-confidentiality conveyed to the Syndicate Desk, representations of confidentiality made by the Syndicate Desk, and/or Morgan Stanley’s policies regarding the treatment of confidential information. As a result of his conduct, Passi willfully violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder.