Scott Wilson Allegedly Misrepresented Purchases of Closed-End Funds
Scott Wilson (CRD #: 861144), a broker registered with Morgan Stanley, allegedly misrepresented certain purchases, according to his BrokerCheck record, accessed on October 15, 2022. Keep reading if you want to know more about his conduct as a broker.
FINRA Rule 2020
FINRA Rule 2020 bans the use of deceptive, manipulative, and otherwise fraudulent methods to influence investors’ decisions. This includes the misrepresentation or omission of information concerning an investment’s limitations, requirements, or other features.
Scott Wilson has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 3 – National Commodity Futures Examination
- Series 31 – Futures Managed Funds Examination
- Series 7 – General Securities Representative Examination
- Series 24 – General Securities Principal Examination
Scott Wilson is a registered broker in 33 states, the District of Columbia, and Puerto Rico. He is also a registered investment adviser in New York and Texas.
He has also worked for Citigroup Global Markets (CRD#:7059) and Salomon Brothers (CRD#:740).
Kurta Law Can Help
If you worked with Scott Wilson and you have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.