Morgan Stanley Fires Shawn O’Connell
Shawn O’Connell (CRD #: 4007788), a broker formerly registered with Morgan Stanley, was fired from the firm, according to his BrokerCheck record, accessed on November 11, 2022. Keep reading to learn more about his conduct as a broker.
Termination from Morgan Stanley
On September 15, 2022, Shawn O’Connell was fired from Morgan Stanley following allegations that he transferred funds into his personal account with insufficient funds to cover the transfers and that he provided inaccurate information regarding the withdrawal of funds from an education savings account that was for the benefit of a family member.
FINRA Rule 2010
FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Providing inaccurate information is an automatic violation of FINRA Rule 2010.
Shawn O’Connell has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
He previously worked for Morgan Stanley (CRD#:149777) and Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).
Kurta Law Can Help
If you worked with Shawn O’Connell and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.