Garden City, New York financial advisor (CRD# 5225102) has received multiple investor complaints alleging that his investment recommendations led to...Read More
Laura Casey: Why Did Morgan Stanley Advisor Resign?
Melville, New York financial advisor Laura Casey (CRD# 2684465) recently resigned from Morgan Stanley amidst allegations of misconduct. Financial Industry Regulatory Authority records show that she is now a broker and an investment advisor with Capitol Securities Management. She is also known as Laura Hubbard.
Ms. Casey’s BrokerCheck report describes her departure from Morgan Stanley in August 2022 as a voluntary resignation. She left the firm following allegations that she “opened brokerage accounts and transferred funds from managed accounts into the brokerage accounts without client authorization and engaged in unauthorized trading.” A second disclosure on her BrokerCheck report, filed in July 2022, describes an internal investigation into the same conduct.
According to the Financial Industry Regulatory Authority, Laura Casey holds nine years of securities industry experience. Based in Melville, New York, she has been a broker and an investment advisor with Capitol Securities Management since 2022. She is also registered with the firm’s office in Rumson, New Jersey. Her past registrations include Morgan Stanley (Red Bank, New Jersey; 2018-2022), Citigroup Global Markets (New York, New York; 2006-2007), Wedbush Morgan Securities (New York, New York; 2005-2006), Bear Stearns & Company (New York, New York; 2004-2005), the Williams Capital Group (New York, New York; 2003-2004), and Goldman Sachs & Company (New York, New York; 1996-1997). She has passed seven securities industry qualifying exams: the National Commodity Futures Examination, or Series 3; the Research Analyst Exam – Part II Regulations Module, or Series 87; the Research Analyst Exam – Part I Analysis Module, or Series 86; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. She is licensed in Connecticut, Florida, Massachusetts, New Jersey, New York, and Utah. (Information current as of September 14, 2022.)
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