Switch to ADA Accessible Theme
Close Menu
Free Consultation: 888-976-6111

Martin Kirschner: Former Morgan Stanley Advisor Barred

A disciplinary action taken by the Financial Industry Regulatory Authority against former New York City broker and investment advisor Martin Kirschner (CRD# 1326676) barred him after finding he failed to appear for testimony related to a FINRA investigation into allegations he failed to disclose a gift from a customer and failed to disclose his power-of-attorney appointment. A former representative of Morgan Stanley, Kirschner was barred from acting as a broker or otherwise associating with a broker-dealer firm.

According to a Letter of Acceptance, Waiver and Consent (No. 2018057846201) dated February 2019, FINRA sent Martin Kirschner a letter on January 9, 2019, requesting his appearance for on-the-record testimony relating to an investigation into allegations he “failed to disclose a gift from a customer and failed to disclose his co-power-of-attorney appointment” in contravention of FINRA’s rules. Through an email by his attorney to FINRA on January 16, Kirschner indicated that he would not appear for the requested on-the-record testimony. FINRA’s findings state that this refusal constituted violations of FINRA Rules 8210 and 2010. He was consequently barred from association with any FINRA member in all capacities.

Martin Kirschner’s disclosure records also list a June 25, 2018 discharge from his former employer, Morgan Stanley, following allegations he failed to disclose and/or receive approval for a monetary gift he received from a client and his acceptance of “appointments to fiduciary capacities for the same client outside the Firm.”

Martin Kirschner is not currently registered as a broker or investment advisor. His employment history includes Morgan Stanley in New York, New York, Morgan Stanley & Company, Bear Stearns & Company, Ehrlich-Bober & Company, and Emanuel and Company. He currently holds no state licenses and has passed three securities industry qualification examinations.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
Latest Blog Posts
  • Douglas Elstun: SEC Fraud Charges Against Kansas Advisor

    Former Lenexa, Kansas broker and investment adviser Douglas Elstun (CRD# 2338588) has been named in a pending SEC enforcement action...

    Read More
  • Matt Babrick: $1.1M Complaint Against First Republic Rep

    San Francisco broker and investment adviser Matt Babrick (CRD#: 4433983) has received several pending customer complaints alleging cumulative damages of...

    Read More
  • Bob & Kristine Hartland: Energy Complaint Against Ameriprise Reps

    A pending investor complaint against Ameriprise Financial Services brokers and investment advisers Bob Hartland (CRD# 2253564) and Kristine Hartland (CRD#...

    Read More
  • Dustin Shafer: Ex-Money Concepts Rep Has Investor Complaints

    Former Springfield, Illinois broker and investment adviser Dustin Shafer (CRD#: 4198962) has received several settled or pending customer complaints in...

    Read More
  • Previous
  • Next