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Sean Fetterman Facing an Investor Dispute

Jul 30, 2021 Investor Disputes

Sean Fetterman (CRD #: 1918944), a broker registered with Morgan Stanley, is involved in an investor dispute, according to his BrokerCheck record, accessed on July 22, 2021.

On June 10, 2021, an investor alleged that Sean Fetterman incorrectly advised them regarding the worth of certain shares.

This is not Sean Fetterman’s first investor dispute. On October 30, 2009, an investor alleged that Sean Fetterman made unsuitable recommendations to purchase equity and bond-based mutual funds. The investor sought $98,342; the dispute settled for $17,500.

There are two other disputes that were collectively settled for $38,400.

Sean Fetterman Background Information

Fetterman has passed the following

  • Series 63 Uniform Securities Agent State Law Examination
  • Securities Industry Essentials Examination
  • Series 7 General Securities Representative Examination
  • Series 52 Municipal Securities Representative Examination
  • Series 6 Investment Company Products / Variable Contracts Representative Examination

He is a registered broker in all 50 states as well as D.C. and Puerto Rico. Fetterman is also a registered investment adviser in Florida and Texas.

Sean Fetterman has worked with the following firms:

  • Morgan Stanley (CRD #: 149777)
  • UBS Financial Services (CRD #: 8174)
  • Wachovia Securities (CRD #: 19616)
  • Prudential Securities Incorporated (CRD #: 7471)
  • FMS (CRD #: 7793)

Kurta Law Can Help

If you worked with Sean Fetterman and you have concerns about your investments, contact Kurta Law today. Call 212-658-1502 or email jkurta@kurtalawfirm.com.