Sally Ann Weger Involved in Pending Investor Dispute

Sally Ann Weger (CRD #: 2591057), a broker registered with Morgan Stanley, is the subject of a pending investor dispute, according to her BrokerCheck record, accessed on June 20, 2023. Keep reading if you have questions about her alleged conduct as a broker.

Investor Dispute

In a dispute filed on April 28, 2023, an investor alleged that Sally Ann Weger engaged in misconduct relating to the addition of a transfer on death (TOD) designation to the client’s account. This dispute is currently pending.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Sally Ann Weger 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

Sally Ann Weger is a registered broker in 24 states and the District of Columbia. She is also a registered investment adviser in Florida and Texas.

She has also worked for Merrill Lynch, Pierce, Fenner & Smith (CRD#:7691).

Kurta Law Can Help

If you worked with Sally Ann Weger 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.