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Diane Finnerty Allegedly Sold Stock Against Client’s Instructions

Diane Finnerty (CRD #: 2762263), a broker registered with Morgan Stanley, allegedly failed to follow a client’s instructions, according to her BrokerCheck record, accessed on July 14, 2023. Keep reading if you want to know more about her alleged conduct as a broker.

Investor Dispute

On June 13, 2023, an investor alleged that Diane Finnerty sold shares of stock in the client’s managed account against their written instructions. This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Diane Finnerty has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 65 – Uniform Investment Adviser Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

Diane Finnerty is a registered broker in 32 states and the District of Columbia. She is also a registered investment adviser in New Jersey, New York, and Texas.

She has also worked for the following firms:

  • Morgan Stanley & Company (CRD#:8209)
  • Ventur Asset Management (CRD#:108152)

Kurta Law Can Help

If you worked with Diane Finnerty 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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