Jaime Yarza Voluntarily Resigned from Morgan Stanley

Jaime Yarza (CRD #: 4010049), a broker registered with Snowden Account Services, recently resigned from Morgan Stanley. This disclosure appears on his BrokerCheck record, accessed on August 8, 2024. Details concerning this disclosure are provided below. 

Employment Separation After Allegations 

On June 24, 2024, Jaime Yarza voluntarily resigned from Morgan Stanley following allegations regarding the representative’s execution of anti-money laundering-related responsibilities and use of a non-firm approved messaging platform to send business-related communications. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Using a non-firm-approved messaging platform may violate this rule. 

Background Information 

Jaime Yarza has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• Series 79TO Investment Banking Registered Representative Examination 
• SIE – Securities Industry Essentials Examination 
• Series 7 General Securities Representative Examination
• Series 3 National Commodity Futures Examination 

He is a registered broker in 27 states, D.C., Puerto Rico, and the Virgin Islands. He is a registered investment adviser in California, Florida, and Texas. 

During his 24 years of experience, Jaime Yarza has registered with five firms: 

• Snowden Account Services (CRD #: 149794) 
• Snowden Capital Advisors (CRD #: 157299) 
• Morgan Stanley (CRD #: 149777) 
• Morgan Stanley & Co. Incorporated (CRD #: 8209) 
• Goldman Sachs & Co. (CRD #: 361) 

Kurta Law Can Help 

If you have worked with Jaime Yarza and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.