Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 5, 2017 indicate that New York-based Morgan Stanley broker/adviser Jonathan Leopold has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Leopold (CRD# 1729492).
Jonathan Leopold has spent 30 years in the securities industry and has been registered with Morgan Stanley in New York, New York since 2009. Previous registrations include Citigroup Global Markets in New York, New York (1993-2009) and Lehman Brothers in New York, New York (1987-1993). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on May 14, 1992; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 8, 1987; Series 3 (National Commodity Futures Examination), which he obtained on March 21, 1988; and Series 7 (General Securities Representative Examination), which he obtained on September 19, 1987. He is a registered broker and investment adviser with 26 US states and territories: California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Hawaii, Idaho, Illinois, Maine, Maryland, Massachusetts, Michigan, Missouri, New Jersey, New Mexico, New York, North Carolina, Pennsylvania, Puerto Rico, South Carolina, Texas, Utah, Virginia, 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 two customer complaints, one pending customer complaint, and one customer complaint that was closed with no action taken.
In October 2017 a customer alleged Jonathan Leopold, while employed at Morgan Stanley Smith Barney, recommended unsuitable investments. The customer is seeking $250,000 in damages in the pending complaint.
In 2010 a customer alleged Jonathan Leopold, while employed at Citigroup Global Markets, misrepresented material facts related to an investment in auction rate securities. The complaint settled with the firm’s repurchase of the securities at par value, for approximately $50,000.
In 2009 a customer alleged Jonathan Leopold, while employed at Citigroup Global Markets, made misrepresentations of material facts in connection to an investment in auction rate securities. The complaint settled with the firm’s repurchase of the securities at par value, for approximately $75,000.
In 2003 a customer alleged he, while employed at Salomon Smith Barney, recommended unsuitable investments. The customer sought $26,587 in damages in the complaint, which was closed with no action taken.
If you have lost money investing with Jonathan Leopold, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.