Articles Tagged with Morgan Stanley

Jeffrey Lutz

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Ohio-based Morgan Stanley broker/adviser Jeffrey Lutz has received a denied customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lutz (CRD# 2074166).

Jeffrey Lutz has spent 27 years in the securities industry and was most recently registered as a broker with Morgan Stanley in Centerville, Ohio (2011-2018). He has been registered as an investment adviser with Invest Capital Partners in Springboro, Ohio since June 2018. Previous registrations include JJB Hiliard WL Lyons in Dayton, Ohio (2005-2011); Legg Mason Wood Walker in Baltimore, Maryland (2003-2005); Wachovia Securities in St. Louis, Missouri (1996-2003); Dean Witter Reynolds in Purchase, New York (1992-1996); Fidelity Brokerage Services in Smithfield, Rhode Island (1991-1992); and First Investors Corporation in New York, New York (1990). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 23, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 29, 1991; SIE (Securities Industry Essentials Examination), which he obtained on July 13, 2018; Series 3 (National Commodity Futures Examination), which he obtained on September 11, 1992; Series 7 (General Securities Representative Examination), which he obtained on December 13, 1991; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 6, 1990 . He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, he has received one denied customer complaint, one unsatisfied tax lien and one financial disclosure.

Ronald WilsonPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 25, 2018 indicate that South Carolina-based Morgan Stanley broker/adviser Ronald Wilson has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wilson (CRD# 2623274).

Ronald Wilson has spent 23 years in the securities industry and has been registered with Morgan Stanley in Columbia, South Carolina since 2010. Previous registrations include UBS Financial Services in Columbia, South Carolina (92001-2010) and AG Edwards & Sons in St. Louis, Missouri (1995-2001). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on July 17, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 24, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on December 30, 2004; Series 3 (National Commodity Futures Examination), which he obtained on January 15, 1999; and Series 7 (General Securities Representative Examination), which he obtained on July 21, 1995. He is a registered broker and investment adviser with 19 US states and territories: Alabama, Arizona, California, Colorado, the District of Columbia, Florida, Georgia, Illinois, Massachusetts, Michigan, Montana, New Jersey, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Texas, and Virginia. 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 and one pending customer complaint.

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 24, 2018 indicate that former Illinois-based Morgan Stanley broker/adviser Rajesh Gupta, who has received a customer dispute, recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gupta (CRD# 2071729).

Rajesh Gupta has spent eleven years in the securities industry and was most recently registered with Morgan Stanley in Naperville, Illinois (2013-2017). Previous registrations include JP Morgan Securities in Naperville, Illinois (2008-2013) and Wachovia Securities in Naperville, Illinois (2005-2008). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 12, 2005; Series 7 (General Securities Representative Examination), which he obtained on September 7, 2005; and Series 3 (National Commodity Futures Examination), which he obtained on September 11, 1990. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and recently resigned from his former employer.

Sally WegerPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 16, 2018 indicate that New York-based Morgan Stanley broker/adviser Sally Weger is involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Weger (CRD# 2591057).

Sally Weger has spent 23 years in the securities industry and has been registered with Morgan Stanley in Palm Beach Gardens, Florida since 2011. She was previously registered with Merrill Lynch in Melville, New York (1995-2011). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on January 13, 2011; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on April 26, 1995; and Series 7 (General Securities Representative Examination), which she obtained on April 11, 1995. She is a registered broker and investment adviser with 14 US states and territories: California, Connecticut, Florida, Georgia, Illinois, Indiana, Michigan, New Jersey, North Carolina, Pennsylvania, Virginia, Washington, and Wyoming. She is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to her BrokerCheck report, she has received one customer complaint, one pending customer complaint, and two customer complaints that were closed.

Chip CarpenterPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that Louisiana-based Morgan Stanley broker/adviser Albert Carpenter, also known as Chip Carpenter, has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Carpenter (CRD# 41219).

Albert Carpenter has spent 46 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 (2006-2009); Legg Mason Wood Walker in Baltimore, Maryland (1995-2006); Painewebber in Weehawken, New Jersey (1980-1995); Paine Webber Jackson & Curtis (1973-1980); and Scharff & Jones (1971-1973). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 5, 2000; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 13, 1984; Series 15 (Foreign Currency Options Examination), which he obtained on March 26, 1987; Series 5 (Interest Rate Options Examination), which he obtained on September 26, 1985; PC (AMEX Put and Call Exam), which he obtained on September 2, 1977; Series 1 (Registered Representative Examination), which he obtained on August 3, 1971; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on September 19, 1984. He is a registered broker and investment adviser with 27 US states and territories.

According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint, and one denied customer complaint.

Fuad HabbaPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2018 indicate that former New York-based Morgan Stanley broker/adviser Fuad Habba has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Habba (CRD# 4892638).

Fuad Habba has spent seven years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2016-2018). Previous registrations include Merrill Lynch in New York, New York (2013-2016); MetLife Securities in White Plains, New York (2008-2010); and Northwestern Mutual Investment Services in Westport, Connecticut (2007-2008). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 1, 2013; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 22, 2007; Series 7 (General Securities Representative Examination), which he obtained on January 24, 2013; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 23, 2007. He is currently not registered with any state or firm.

According to his BrokerCheck report, Fuad Habba was recently sanctioned by FINRA and resigned from his former employer in connection to alleged rule violations.

Aaron sheehy

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 8, 2018 indicate that former New York-based Morgan Stanley broker Aaron Sheehy was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sheehy (CRD# 1847401).

Aaron Sheehy has spent twenty-five years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2018). Previous registrations include Citigroup Global Markets in New York, New York (1997-2009) and Salomon Brothers in New York, New York (1992-1998). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 23, 1992; Series 3 (National Commodity Futures Examination), which he obtained on July 9, 1993; Series 7 (General Securities Representative Examination), which he obtained on April 10, 1992; Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on December 8, 1997; Series 24 (General Securities Principal Examination), which he obtained on July 9, 1997; and Series 4 (Registered Options Principal Examination), which he obtained on February 18, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and was recently discharged from his former employer in connection to alleged rule violations.

Steven Gilbert

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 6, 2018 indicate that former Florida-based Morgan Stanley broker/adviser Steven Gilbert has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gilbert (CRD# 1534253).

Steven Gilbert has spent 31 years in the securities industry and was most recently registered with Morgan Stanley in Boca Raton, Florida (2015-2018). Previous registrations include National Securities Corporation in Aventura, Florida (2013-2015); Prime Capital Services in Clearwater, Florida (1999-2013); Royal Alliance Associates in Jersey City, New Jersey (1992-1999); Linsco/Private Ledger Corporation in Boston, Massachusetts (1990-1992); Advest in Hartford, Connecticut (1987-1990); and the Ohio Company (1986-1987). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 18, 1986; Series 7 (General Securities Representative Examination), which he obtained on August 16, 1986; and Series 24 (General Securities Principal Examination), which he obtained on November 5, 1993. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received five customer complaints and one pending customer complaint.

david olson

Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 24, 2018 indicate that former Florida-based Morgan Stanley broker David Olson, who has received several customer disputes, was recently sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Olson (CRD# 1700644).

David Olson has spent 29 years in the securities industry and was most recently registered with Morgan Stanley in St. Petersburg, Florida (2010-2017). Previous registrations include Merrill Lynch in Clearwater, Florida (2009-2010); Banc of America Investment Services in Belleair Bluffs, Florida (2004-2009); UBS Financial Services in Weehawken, New Jersey (1999-2004); Prudential Securities in New York, New York (1989-1999); Thomson McKinnon in New York, New York (1989); and Painewebber (1987-1989). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on December 28, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 5, 1987; Series 3 (National Commodity Futures Examination), which he obtained on December 15, 1989; and Series 7 (General Securities Representative Examination), which he obtained on July 18, 1987. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received six customer complaints and two regulatory sanctions.

Anthony DacruzPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that New York-based Morgan Stanley broker/adviser Anthony Dacruz has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dacruz (CRD# 1259435).

Anthony Dacruz has spent 34 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2011. Previous registrations include RBC Capital Markets in New York, New York (2009-2011); JB Hanauer & Company in Parsippany, New York (1984-2009); and Merrill Lynch (1984-1988). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 25, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 15, 1984; Series 7 (General Securities Representative Examination), which he obtained on April 14, 1984; and Series 24 (General Securities Principal Examination), which he obtained on October 21, 1996. He is a registered broker and investment adviser with 22 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Massachusetts, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Rhode Island, South Carolina, Texas, Vermont, and Virginia.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.