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October 09, 2024 at 01:10 PM
The Financial Industry Regulatory Authority announced it has barred a former Morgan Stanley broker and investment advisor from the industry after he declined to provide information for a FINRA investigation into possible undisclosed private securities transactions.
Robert Anthony Daly, whose registration Morgan Stanley terminated last year, accepts and consents to FINRA’s findings and to a bar from associating with any FINRA firm, without admitting or denying the findings, the authority disclosed Tuesday.
The matter arose from a regulatory tip, FINRA said.
A Morgan Stanley spokesperson told ThinkAdvisor by email Wednesday that the company had no comment.
Daly became registered through Morgan Stanley in 2016; in March last year, the company terminated his registration with FINRA. Daly later became registered through Xtellus Capital Partners; that registration ended Friday, according to his FINRA BrokerCheck record.
