August 5, 2015
FINRA AWC
On July 30, 2015, former Morgan Stanley registered representative Troy Mackey (CRD# 4466980) of Albany, New York entered into a Letter of Acceptance, Waiver and Consent.
Troy Mackey consented, without admitting or denying the allegations made against him by FINRA, to a permanent bar from associating with any FINRA member firm in any capacity in resolution of FINRA Disciplinary Proceeding No. 2014040914601. FINRA alleged that Mackey refused to provide testimony as requested by FINRA staff pursuant to FINRA Rule 8210. According to FINRA, Mackey’s refusal violated FINRA Rules 8210 and 2010. FINRA was investigating allegations that “Mackey converted funds from the bank accounts of two minor relatives.”
Troy Mackey’s FINRA BrokerCheck report reveals that he was discharged by Morgan Stanley on April 28, 2015, for “loss of management confidence after a client alleged that Mr. Mackey requested a loan from her.”
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