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Glenn Ota Allegedly Failed to Follow Instructions

Glenn Ota (CRD #: 702745), a broker registered with Morgan Stanley, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on December 20, 2023. Keep reading if you have questions regarding this dispute. 

On November 12, 2023, an investor alleged that Glenn Ota failed to follow her instructions to reallocate her account holdings to preserve her assets. The investor sought $76,000 but the dispute was denied by the firm. 

Investors should know, however, that firms can deny disputes without any external review. Our securities attorneys can still recover losses following a denial via FINRA arbitration

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failing to follow investor instructions may violate this rule. 

Background Information 

Glenn Ota has passed the following exams:

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 9 General Securities Sales Supervisor – Options Module Examination 

He is a registered broker in 13 states and is a registered investment adviser in California and Texas. 

During his 44 years of experience, he has registered with four firms: 

  • Morgan Stanley (CRD #: 149777) 
  • CitiGroup Global Markets (CRD #: 7059) 
  • Lehman Brothers (CRD #: 7506) 
  • E.F. Hutton & Company (CRD #: 235) 

Kurta Law Can Help 

If you have worked with Glenn Ota and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.