According to the Financial Industry Regulatory Authority (“FINRA”) Michael Ralby has been barred from the industry for refusing to appear for an on-the-record interview in which testimony was requested in connection with an investigation by FINRA into whether Ralby had accepted loans from a customer. Morgan Stanley terminated Michael Ralby’s registration on January 11, 2018 according the FINRA Letter of Acceptance, Waiver and Consent (AWC 2017053976201).
Michael Ralby entered the securities industry in 1984 when he became registered as a General Securities Representative. Michael Ralby (CRD # 1301072) has been registered with the following firms:
Morgan Stanley
CRD # 149777
Boca Raton, FL
07/01/2013 – 01/11/2018
Oppenheimer & Co. Inc.
CRD # 249
Boca Raton, FL
03/20/2009 – 07/15/2013
Stanford Group Company
CRD# 39285
Boca Raton, FL
03/15/2005-03/16/2009
FSC Securities Corp.
CRD# 7461
Atlanta, GA
01/07/2002 – 04/06/2005
First Union Securities Financial Network, Inc.
CRD# 11025
St. Louis, MO
09/22/1998 – 12/31/2001
JWGenesis Securities, Inc.
CRD# 33832
Boca Raton
07/01/1999 – 01/02/2001
D.E. Frey & Co.
CRD# 23595
Denver, CO
09/28/1995 – 08/31/1998
Smith Barney Inc.
CRD# 7059
New York, NY
05/31/1990 – 10/06/1995
First Miami Securities, Inc.
CRD# 7793
Boca Raton, FL
12/19/1984 – 06/06/1990
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