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Jamie Gu Allegedly Misrepresented a Share Class

Jamie Gu (CRD #: 5599295), a broker registered with Morgan Stanley, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on October 21, 2025. Keep reading if you have questions regarding her alleged conduct.

Investor Allegations

On August 28, 2025, an investor alleged that Jamie Gu misrepresented share class internal fees and placement fees.

The dispute was denied by the firm, but investors should know that firms can deny disputes without any external review. Investors can still recover losses following a denial.

Misrepresentation

FINRA Rule 2020 prohibits the use of manipulation, deception, and other fraudulent methods to influence investors’ decisions. This includes the misrepresentation or omission of information, such as an investment’s potential fees and commissions.  

Background Information

Jamie Gu 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

She is a registered broker in 26 states and D.C. He is a registered investment adviser in Texas and Washington.

Jamie Gu has registered with the following firms:

  • Morgan Stanley (CRD #: 149777)
  • HSBC Securities (USA) (CRD #: 19585)
  • TransAmerica Financial Advisors (CRD #: 16164)
  • Rampart Financial Services (CRD #: 43294)
  • Signator Investors (CRD #: 468)
  • AXA Advisors (CRD #: 6627)

Kurta Law Can Help

If you worked with Jamie Gu 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 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. 

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