Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 6, 2017 indicate that former New York-based Morgan Stanley broker/adviser Laurence Rossbach has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Rossbach (CRD# 405296).
Laurence Rossbach has spent 43 years in the securities industry and was most recently registered with Morgan Stanley in New York, New York (2009-2017). Previous registrations include Citigroup Global Markets in New York, New York (1989-2009); Drexel Burnham Lambert (1977-1989); and Drexel Burnham & Company (1973-1976). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on Jul 19, 1993; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 27, 1980; Series 31 (Futures Managed Funds Examination), which he obtained on October 28, 1993; PC (AMEX Put and Call Exam), which he obtained on December 7, 1993; and Series 00 (General Securities Principal Examination), which he obtained on June 25, 1973. He is not currently registered with any state or firm.
According to his BrokerCheck report, he has received two customer complaints, one pending customer complaint and one denied customer complaint.