Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 19, 2017 indicate that former Maryland-based Morgan Stanley broker/adviser Stephanie Abee has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Abee (CRD# 5888654).
Stephanie Abee has spent six years in the securities industry and has been registered with Cambridge Investment Research in Raleigh, North Carolina since 2016. Previous registrations include TransAmerica Financial Advisors in Raleigh, North Carolina (2013-2016); NFP Securities in Raleigh, North Carolina (2012-2013); and TransAmerica Financial Advisors in Raleigh, North Carolina (2011-2012). She has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which she obtained on October 7, 2011, and Series 7 (General Securities Representative Examination), which she obtained on April 20, 2011. She is a registered broker and investment adviser with eleven US states and territories: Arizona, Delaware, the District of Columbia, Kentucky, Maryland, Minnesota, North Carolina, Ohio, Oregon, Pennsylvania and Virginia.
According to her BrokerCheck report, she has received one customer complaint and one pending customer complaint.
In November 2017 a customer alleged Stephanie Abee, while employed at Kestra Investment Services, recommended unsuitable investments and misrepresented material facts regarding the investments, their risks, and their associated fees and commissions. The customer is seeking $125,000 in damages in the pending complaint.
In January 2017 a customer alleged Stephanie Abee, while employed at TransAmerica Financial Advisors, made misrepresentations of material facts with respect to the risks and natures of the investments and their associated commissions and fees, and recommended unsuitable and illiquid investments. The complaint, in which her association “is limited to an administrative capacity only,” settled in August 2017 for $250,000.
If you or someone you know has lost money investing with Stephanie Abee, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. 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.