Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2018 indicate that New Jersey-based Morgan Stanley broker/adviser Adele Polakoff has received a customer complaint and was recently named in a state regulatory investigation. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Polakoff (CRD# 865402).
Adele Polakoff has spent 38 years in the securities industry and has been registered with Morgan Stanley in Paramus, New Jersey since 2009. Previous registrations include Morgan Stanley & Company in Paramus, New Jersey (2007-2009); Morgan Stanley DW in Paramus, New Jersey (2002-2007); UBS Painewebber in Weehawken, New Jersey (1996-2002); Prudential Securities in New York, New York (1989-1996); and Thomson McKinnon Securities in New York, New York (1979-1989). She has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which she obtained on March 7, 1994; Series 63 (Uniform Securities Agent State Law Examination), which she obtained on January 29, 1983; and Series 7 (General Securities Representative Examination), which she obtained on April 21, 1979. She is a registered broker and investment adviser with 19 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Georgia, Hawaii, Maine, Maryland, Massachusetts, Michigan, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, Tennessee, and Virginia.
According to his BrokerCheck report, she has received one customer complaint, two denied customer complaints, and one pending state regulatory investigation.