Raymond K. Malicki Allegedly Gained Access to a Client’s Account at a Third Party Financial Institution according to His Form U4 Amended by Morgan Stanley
Raymond Malicki‘s Form U4 was reportedly amended and disclosed that his prior firm, Morgan Stanley, had learned of allegations regarding his purported access to, and alleged conducted transactions in a client’s account at a third party financial institution, according to a Final Regulatory Action disclosed on Malicki’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.
Said Regulatory Action was filed on March 4, 2019 on Malicki’s FINRA BrokerCheck Report.
Securities attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to Malicki’s alleged access to a client’s account. Malick investors who believe they may have lost money may contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
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Raymond Malicki Barred by FINRA after Allegedly Refusing to Appear for FINRA on-the-record Testimony
Raymond Malicki, based on the alleged aforementioned behavior, fell under the scope of a FINRA investigation, FINRA notes.
Malicki, without admitting or denying the findings, allegedly consented to the sanction and to the entry of findings that he refused to appear for FINRA on-the-record testimony during the course of an investigation after it received an amendment to his Form U4 filed by his member firm, FINRA states.
Raymond K Malicki, thus, has been barred indefinitely by FINRA in all capacities starting on March 4, 2019, FINRA reports.
Malicki has 5 disclosures on his FINRA BrokerCheck Report in his 27 years of experience in the securities industry, FINRA notes.
Malicki has been registered with Oppenheimer & Co. in Bethlehem, PA since August 3, 2018, FINRA notes. Malicki was also registered with Morgan Stanley in Easton, PA from June 1, 2009 until July 25, 2018, FINRA reports.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated.
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Securities Lawyer Investigating
The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related misconduct and are currently investigating Malicki’s alleged access to a client’s account. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of Malicki’s alleged access to a client’s account may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at email@example.com, or through the contact form on this webpage.Raymond Malicki