The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding California-based Wells Fargo Advisors broker/adviser Sanjay Mathur (CRD# 1144243).
Sanjay Mathur has spent 32 years in the securities industry and has been registered with Wells Fargo Advisors in Newport Beach, California since 2012. Previous registrations include Morgan Stanley Smith Barney in Monarch Beach, California (2009-2012); Morgan Stanley & Company in Monarch Beach, California (2007-2009); Morgan Stanley DW in Monarch Beach, California (1997-2007); Prudential Securities in New York, New York (1994-1997); Painewebber Incorporated in Weehawken, New Jersey (1990-1994); Lehman Brothers in New York, New York (1983-1990); and First Investors Corporation (1983-1985). He is a registered broker and investment adviser in 22 US states and territories.
According to his BrokerCheck report, Sanjay Mathur is the subject of one customer complaint and one denied customer complaint, and voluntarily resigned from his position at Morgan Stanley Smith Barney.
In November 2015 a customer alleged Sanjay Mathur, while employed at Wells Fargo Advisors, executed excessive trades and charged excessive fees. The customer sought unspecified damages in the complaint, which was denied.
In 2012 Sanjay Mathur submitted his voluntary resignation from Morgan Stanley Smith Barney following allegations he exercised time and price discretion without proper written authorization.
In 2008 a customer alleged Sanjay Mathur, while employed at Morgan Stanley, executed unauthorized purchases of Fannie Mae and Citigroup stock. The complaint settled in 2009 for more than $3,100.
If you have complaints regarding Sanjay Mathur, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recover lost funds. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.