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Charles Natt Allegedly Failed to Follow Investor’s Liquidation Instructions

Charles Natt (CRD #: 4357934), a broker registered with Morgan Stanley, allegedly failed to follow instructions, according to his BrokerCheck record, accessed on October 16, 2022. Keep reading if you have questions about his conduct as a broker.

Investor Dispute

On July 8, 2022, an investor alleged that Charles Natt failed to follow his instructions to liquidate his equity positions in his managed account in 2022. This dispute is pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Charles Natt has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Charles Natt is a registered broker in 42 states and the District of Columbia. He is also a registered investment adviser in New Jersey, New York, and Texas.

He has also worked for the following firms:

  • Morgan Stanley & Company (CRD#:8209)
  • Morgan Stanley (CRD#:7556)
  • Oppenheimer & Company (CRD#:249)
  • Sands Brothers & Company (CRD#:26816)

Kurta Law Can Help

If you worked with Charles Natt and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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