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Laurie Ufnowski Resigns from Her Position at Morgan Stanley

Dec 1, 2021 Employment

Laurie Ufnowski (CRD #: 1548386), a broker and financial advisor registered with  Ameriprise Financial Services recently resigned from her position at Morgan Stanley, according to her BrokerCheck record, accessed on November 17, 2021.  

Laurie Ufnowski’s Resignation Details 

On August 13, 2021, Laurie Ufnowski voluntarily resigned from Morgan Stanley following allegations that she made unauthorized transfers from a family member's account, who is also a client. Morgan Stanley further alleges she failed to disclose multiple civil judgments which were settled by mediation. Brokers are required to disclose civil judgments to their firms in a timely manner.   

Background Information 

Laurie Ufnowski has passed the following exams: 

  • Series 66 - Uniform Combined State Law Examination 
  • SIE - Securities Industry Essentials Examination 
  • Series 7 - General Securities Representative Examination 

She is a registered broker and investment adviser in Wisconsin.  

Other than Ameriprise Financial Services, Laurie Ufnowski has also worked with the following firms: 

  • Morgan Stanley (CRD#:149777) 
  • UBS Financial Services (CRD#:8174) 

Kurta Law Can Help 

If you have suffered losses after working with Laurie Ufnowski, 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. 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. Reach out today to start the process to recover your investment losses.