Tag: Micheal B. Ralby

Hanley Law Investigates Michael Ralby Ex-Morgan Stanley Broker Boca Raton Florida

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

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


Hanley law represents individual investors nationwide with significant losses in their portfolios, retirement plans or investment accounts. The firm is dedicated to assisting investors to recover losses suffered by unsuitability, over-concentration, fraud, misrepresentation, self-dealing, unauthorized trades or other wrongful acts, whether intentional or negligent. The firm handles cases against the major Wall Street broker dealers, including Morgan Stanley.

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