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FINRA Disciplinary Actions

25 Sep 2025

Former Morgan Stanley Broker C.J. Kline Suspended Two Years by FINRA Over Improper Fund Transfers

The Financial Industry Regulatory Authority (FINRA) has suspended former Morgan Stanley broker C.J. Kline (CRD#: 4362678) for two years and fined him $5,000 after finding that he initiated more than $180,000 in improper fund transfers between his personal and brokerage accounts. According to FINRA’s settlement findings, between August 2023 and April 2024, Kline repeatedly transferred

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FINRA Disciplinary Actions

Former Morgan Stanley Broker C.J. Kline Suspended Two Years by FINRA Over Improper Fund Transfers

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