Articles Tagged with Sumitro Pal

Sumitro PalPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 14, 2017 indicate that Maryland-based Morgan Stanley broker/adviser Sumitro Pal has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pal (CRD# 4763364).

Sumitro Pal has spent 13 years in the securities industry and has been registered with Morgan Stanley in Bethesda, Maryland since 2009. Previous registrations include Morgan Stanley & Company in Bethesda, Maryland and Morgan Stanley DW in Bethesda, Maryland. He has passed three securities industry examinations: 66 (Uniform Combined State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 32 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.