Investor Alleges Kent Hageman Misrepresented a Corporate Bond

Kent Hageman (CRD #: 1625519), a broker registered with Morgan Stanley, was the subject of a recent dispute, according to his BrokerCheck record, accessed on August 6, 2022. Keep reading if you have questions about his conduct as a broker.

Investor Dispute

On May 25, 2022, an investor alleged that Kent Hageman misrepresented a corporate bond purchased in 2020, as well as other undisclosed allegations. This dispute was denied by the firm.

However, investors should know that firms can deny disputes without an external review. Investors can still pursue FINRA arbitration and potentially recoup their losses after a denial.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of manipulation, deception, and other unethical means of influencing investors’ decisions. This includes the misrepresentation of investments, including their fees or potential risks and returns.

Background Information

Kent Hageman 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 3 – National Commodity Futures Examination
• Series 7 – General Securities Representative Examination
• Series 8 – General Securities Sales Supervisor Examination (Options Module & General Module)

Kent Hageman is a registered broker in 33 states and Puerto Rico. He is also a registered investment adviser in Florida, Ohio, and Texas.

He has also worked for the following firms:

• Morgan Stanley & Company (CRD#:8209)
• Morgan Stanley DW (CRD#:7556)
• Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691)

Kurta Law Can Help

If you worked with Kent Hageman 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.