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Shaun Ferguson Allegedly Did Not Follow Investor Instructions

Shaun Ferguson (CRD #: 5735329), a broker registered with Morgan Stanley, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on January 19, 2024. Details concerning this dispute are provided below. 

On October 25, 2023, an investor alleged that Shaun Ferguson did not follow her instructions on how to invest her funds. The dispute was denied, but investors should know that firms can deny disputes without an external review. Investors may be able to recover their losses after a denial by pursuing FINRA arbitration. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow investor instructions may violate this rule. 

Background Information 

Shaun Ferguson has passed the following exams: 

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

He is a registered investment adviser and broker in North Carolina and Texas. He is a registered broker in 25 states and D.C. 

Kurta Law Can Help 

If you have worked with Shaun Ferguson and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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