Articles Tagged with Morgan Stanley

Adam PalmerPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that Florida-based Morgan Stanley broker/adviser Adam Palmer has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Palmer (CRD# 2152815).

Adam Palmer has spent 22 years in the securities industry and has been registered with Morgan Stanley in Tampa, Florida since 2009. Previous registrations include Citigroup Global Markets in Tampa, Florida (2006-2009); UBS Financial Services in Tampa, Florida (2000-2006); and JB Hanauer & Company in Parsippany, New Jersey (1996-2000). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 15, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2016; Series 7 (General Securities Representative Examination), which he obtained on October 2, 1996; and Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on September 11, 2006. He is a registered broker and investment adviser with 30 US states and territories.

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

Gerardo MaganaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 16, 2019 indicate that Texas-based Morgan Stanley broker/adviser Gerardo Magana has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Magana (CRD# 4279788).

Gerardo Magana has spent 18 years in the securities industry and has been registered with Morgan Stanley in Houston, Texas since September 2017. Previous registrations include UBS Financial Services in Houston, Texas (2010-2017); UBS International in Houston, Texas (2008-2010); and BBVA Investments in Houston, Texas (2000-2008). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 17, 2009; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 5, 2003; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on October 20, 2000. He is a registered broker and investment adviser with six US states: Arizona, California, Delaware, Florida, New York, and Texas. 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 pending customer complaint and one denied customer complaint.

David Schaeffer

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that Pennsylvania-based Morgan Stanley broker/adviser David Schaeffer has received a pending customer complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Schaeffer (CRD# 1961413).

David Schaeffer has spent twenty-two years in the securities industry and has been registered with Morgan Stanley in Philadelphia, Pennsylvania since 2009. Previous registrations include Citigroup Global Markets in Philadelphia, Pennsylvania (2006-2009); Morgan Stanley DW in Purchase, New York (2001-2006); Deutsche Banc Alex Brown in New York, New York (2001); DB Alex Brown in Baltimore, Maryland (1997-2001); Hambrecht & Quist in San Francisco, California (1996-1997); and Alex Brown & Sons (1996). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 22, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 10, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 28, 1996. He is a registered broker and investment adviser with 25 US states and territories: Alabama, Arizona, California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Indiana, Kentucky, Maryland, Massachusetts, New Hampshire, New Jersey, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia, Washington, and Wisconsin. He is registered with four self-regulatory organizations: FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint and one customer complaint that was closed.

Thomas JacobsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 31, 2018 indicate that Michigan-based Morgan Stanley broker/adviser Thomas Jacobs has received several customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jacobs (CRD# 840728).

Thomas Jacobs has spent 36 years in the securities industry and has been registered with Morgan Stanley in Bloomfield Hills, Michigan since 2009. Previous registrations include Citigroup Global Markets in Bloomfield Hills, Michigan (1993-2009); Lehman Brothers in New York, New York (1988-1993); and EF Hutton & Company (1982-1988). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 23, 2010; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 19, 1982; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 16, 1977. He is a registered broker and investment adviser with 22 US states and territories: Arizona, Arkansas, California, Colorado, the District of Columbia, Florida, Illinois, Indiana, Iowa, Kentucky, Maryland, Massachusetts, Michigan, Montana, New Jersey, North Carolina, Ohio, Oregon, Texas, Washington, and Wisconsin. 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 three customer complaints.

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.