Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 28, 2016 indicate that Indiana-based Morgan Stanley broker/adviser Mark Stoltz has been the subject of customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Stoltz (CRD# 1245835).
Mark Stoltz has spent 32 years in the securities industry and has been registered with Morgan Stanley in Indianapolis, Indiana since 2009. Previous registrations include Citigroup Global Markets in Indianapolis, Indiana; Morgan Stanley & Company in Indianapolis, Indiana; Morgan Stanley DW in Indianapolis, Indiana; Painewebber in Weehawken, New Jersey; Merrill Lynch in New York, New York; and First Investors Corporation. He is a registered broker and investment adviser with nineteen US states and territories: Arizona, California, Colorado, Florida, Georgia, Hawaii, Illinois, Indiana, Massachusetts, Michigan, Mississippi, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, Tennessee, Texas, and Wisconsin.
According to his BrokerCheck report, Mark Stoltz has received two customer complaints and one denied customer complaint.
In 2013 a customer alleged Mark Stoltz, while employed at Morgan Stanley, executed an unauthorized purchase. The customer sought unspecified damages in the complaint, which was denied.
In 2012 a customer alleged Mark Stoltz, while employed at Morgan Stanley, breached his fiduciary duty by recommending unsuitable investments and effecting unauthorized transactions. The complaint settled for $24,000.
In 2004 a customer alleged Mark Stoltz, while employed at Morgan Stanley, recommended unsuitable investments and failed to follow an allocation plan. The complaint settled for $325,000.
If you or someone you know has lost money investing with Mark Stoltz, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.