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Adam Fetterman: Did He Misrepresent Securities?

Aug 20, 2021 Investor Disputes

Adam Fetterman (CRD #: 2053684), a broker registered with Morgan Stanley, is involved in an investor dispute, according to his BrokerCheck record, accessed on July 22, 2021.

On June 10, 2021, an investor alleged that Adam Fetterman incorrectly advised them regarding the worth of certain shares.

This is not the first dispute on Fetterman’s record. On December 5, 2017, an investor alleged that Adam Fetterman recommended unsuitable, high-risk investments – including margin loans. The investor sought $280,000 but the dispute was denied. “Denied” simply means the firm denies their representative engaged in misconduct. Investors can still recover losses following a denial.

Adam Fetterman Background Information

Fetterman has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 52 Municipal Securities Representative Examination
  • Series 6 Investment Company Products / Variable Contracts Representative Examination

He is registered in 49 states as well as D.C. and Puerto Rico. He is also a registered investment adviser in Florida and Texas.

Fetterman has worked with the following firms:

  • Morgan Stanley (CRD #: 149777)
  • UBS Financial Services (CRD #: 8174)
  • Wachovia Securities (CRD #: 19616)
  • Prudential Securities Incorporated (CRD #: 7471)
  • Saloman Smith Barney (CRD #: 7059)
  • Painewebber Incorporated (CRD #: 8174)
  • First Miami Securities (CRD #: 7793)
  • Metropolitan Life Insurance Company (CRD #: 4095)
  • MetLife Securities (CRD #: 14251)

Kurta Law Can Help

If you worked with Adam Fetterman and you have concerns about your investments, contact Kurta Law today. Call 877-600-0098 or email info@kurtalawfirm.com.