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David Lewis Allegedly Did Not Work in His Investor’s Best Interests

David Lewis (CRD #: 1175193), a broker registered with Morgan Stanley, is involved in two pending investor disputes. This is according to his BrokerCheck record, accessed on May 24, 2022.

On February 28, 2022, an investor alleged that David Lewis failed to take his best interests into consideration when he took a lump-sum distribution. The investor claimed his stock broker offered no guidance regarding what was the best way for him to receive inherited funds as a beneficiary of an IRA.

David Lewis is registered as both a broker and an investment adviser with Morgan Stanley. As a registered investment adviser, he is required to recommend investment strategies that are in his client’s best interest.

Background Information

David Lewis has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination
  • Series 63 Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination

He is a registered broker in 44 states and D.C. He is also a registered investment adviser in Florida and Texas.

David Lewis has also worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD #: 7691).

Kurta Law Can Help

If you worked with David Lewis and have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For nearly 20 years, Kurta Law has advocated on behalf of investors recovering their investment losses from stockbrokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors. We work on a contingency basis, which means that the firm only earns a fee if our securities attorneys recover money on your behalf. Reach out and we can tell you what steps to take to restore your lost funds.