Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Louisiana-based Morgan Stanley broker/adviser Amos Katz has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Katz (CRD# 839607).
Amos Katz has spent 41 years in the securities industry and has been registered with Morgan Stanley in New Orleans, Louisiana since 2009. Previous registrations include Citigroup Global Markets in New Orleans, Louisiana (1993-2009); Lehman Brothers in New York, New York (1979-1993); Loeb Partners (1978-1979); and Loeb Rhoades & Company (1977-1978). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 21, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 28, 1980; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 5 (Interest Rate Options Examination), which he obtained on October 17, 1981; PC (AMEX Put and Call Exam), which he obtained on June 19, 1979; and Series 7 (General Securities Representative Examination), which he obtained on June 18, 1977. He is a registered broker and investment adviser with 23 US states and territories: Alabama, California, Colorado, Delaware, the District of Columbia, Florida, Georgia, Idaho, Indiana, Kentucky, Louisiana, Maryland, Mississippi, Montana, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, and Washington. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.
In January 2019 a customer alleged Amos Katz, while employed at Morgan Stanley, misrepresented material facts related to an investment in a variable life insurance policy. The customer is seeking unspecified damages in the pending complaint.
In 2003 a customer alleged Amos Katz, while employed at Citigroup Global Markets, breached contract, breached his fiduciary duty, misrepresented material facts, and made unsuitable investment recommendations. The complaint settled for $88,125.
In 1999 a customer alleged Amos Katz, while employed at Smith Barney, misrepresented material facts related to a 1997 stock purchase. The customer sought $5,208 in damages in the complaint, which was denied.
If you have lost money investing with Amos Katz, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.