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Wendy Stocker Fired by Morgan Stanley

Wendy Stocker (CRD #: 2127664) has been fired by Morgan Stanley. This disclosure appears on her BrokerCheck record, accessed on October 4, 2024. Keep reading if you have questions regarding her alleged conduct. 

Employment Separation After Allegations 

On September 1, 2024, Morgan Stanley fired Wendy Stocker following allegations that she altered and re-used a signed internal billing form and used her personal email to send and receive client information. This allegedly included copies of the billing form. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Altering and re-using signatures may violate this rule. 

Background Information 

Wendy Stocker has passed the following exams: 

  • Series 66 – Uniform Combined State Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination

She has registered with the following firms: 

  • Morgan Stanley (CRD #: 149777) 
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691) 
  • UBS Financial Services (CRD #: 8174) 
  • Prudential Securities Incorporated (CRD #: 7471) 

Kurta Law Can Help 

If you worked with Wendy Stocker and you 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.

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