Jeff Mash Allegedly Misrepresented an Investment Strategy

Jeff Mash (CRD #: 1296714), a broker and investment advisor registered with Morgan Stanley, was involved in an investor dispute according to his BrokerCheck record, accessed on March 26, 2022.

Investor Allegations

On December 28, 2021, a dispute was filed against Jeff Mash alleging that he misrepresented an investing strategy as conservative. The investor sought $225,000 but the firm denied the case. It is important to note that you can still pursue a FINRA arbitration and recover your losses following a denial.

FINRA Rules 2020 and 2010

Misrepresentations and omissions deprive investors of the information they need to assess a particular investment. FINRA Rule 2020 prohibits brokerage firms and stockbrokers from making material misrepresentations or inducing individuals into buying investments with misleading statements about their potential benefits. Brokers also have a duty to accurately represent the risks involved with a particular trading strategy. 

Jeff Mash’s alleged unethical conduct also violates FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor. 

Background Information

Jeff Mash has passed the following exams:

• Series 63 – Uniform Securities Agent State Law Examination
• SIE – Securities Industry Essentials Examination
• Series 31 – Futures Managed Funds Examination
• Series 3 – National Commodity Futures Examination
• Series 7 – General Securities Representative Examination

Jeff Mash is a registered broker in 36 states. He is also a registered investment adviser in Texas and Washington.

Besides  Morgan Stanley, Jeff Mash has also worked with the following firms:

• Citigroup Global Markets (CRD#:7059)
• Lehman Brothers (CRD#:7506)
• Foster & Marshall (CRD#:321)

Kurta Law Can Help

If you have worked with Jeff Mash and have concerns about your investments, don’t hesitate to contact us today 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 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.