Tiffany Anne Keigley is formerly a Morgan Stanley broker. Regulators expelled Keigley from the securities industry after Keigley failed to defend or cooperate with regulators concerning allegations to diverting investor funds.
In November 2024, an investment client of Keigley’s alleged that Keigley used the investor’s funds to pay Keigley’s own bills and made cash transfers to, or for the benefit of, Keigley. The public disclosure of Keigley reveal that the investing client settled these charges for a payment of $108,440.
Disclosures also reveal that Morgan Stanley terminated Keigley concerning allegations concerning the distribution of client funds.
The regulator FINRA, the Financial Industry Regulatory Authority, opened an investigation into the actions of Keigley. Such investigations require the cooperation of the individual investigated if that individual desires to keep his or her securities license.
Although Keigley produced information and some documents in response to the request of FINRA’s investigation, Keigley failed to continue cooperating in the investigation. Keigley acknowledged this failure. As a result, FINRA issued and Keigley agreed to a bar from the securities brokerage industry in all capacities.
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