Herbert Getzels Terminated by Morgan Stanley
Herbert Getzels (CRD #: 864580), a broker formerly registered with Morgan Stanley, has been fired, according to his BrokerCheck record, accessed on February 7, 2022. For more detail regarding the termination, keep reading.
On December 1, 2021, Morgan Stanley fired Herbert Getzels. This followed allegations that Herbert Getzels sent firm emails containing confidential client information to his personal e-mail. Morgan Stanley alleges this followed policy reminders regarding this type of conduct.
SEC Regulation S-P requires broker-dealers and investment companies to “adopt written policies and procedures that address administrative, technical, and physical safeguards for the protection of customer records and information.”
Herbert Getzels 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
- Series 22 Direct Participation Programs Representative Examination
- Series 6 Investment Company Products/ Variable Contracts Representative Examination
- Series 52 Municipal Securities Representative Examination
- Series 8 General Securities Sales Supervisor Examination (Options Module & General Module)
- Series 24 General Securities Principal Examination
He has also worked with the following firms:
- CitiGroup Global Markets (CRD #: 7059)
- Lehman Brothers (CRD #: 7506)
- Prudential Securities (CRD #: 7471)
- David Lerner Associates (CRD #: 5397)
Kurta Law Can Help
If you have worked with Herbert Getzels and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org for a free consultation.
For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.