Ashley Martin, previously with Morgan Stanley, Barred by FINRA
Have you lost money with financial advisor Ashley Martin? We are looking into allegations made about Ashley K. Martin from Leawood, Kansas. FINRA (the Financial Industry Regulatory Authority) barred Martin from the securities industry. FINRA alleged that Martin failed to respond to its investigation. FINRA was investigating Martin after she was terminated by Morgan Stanley regarding allegations that she altered customer forms after they were signed by clients.
Ashley Martin was a financial advisor and registered representative of Morgan Stanley from 2007 to September 2019. She worked in a branch office in Leawood, Kansas.
Brokerage firms like Morgan Stanley 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 in Kansas. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Morgan Stanley.