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Tracy Longstreet Allegedly Engaged in Misappropriation

Tracy Longstreet (CRD #: 1768525), a previously registered broker with UBS Financial Services, is the subject of an investor dispute. This is according to her BrokerCheck record, accessed on July 17, 2024. Details concerning this dispute are provided below. 

Investor Dispute 

On June 6, 2024, an investor alleged that Tracy Longstreet engaged in ongoing theft from his accounts and that his IRA beneficiaries were improperly changed to personally benefit the advisor’s family and/or friends. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Theft and improper changes to beneficiaries may violate this rule. Misappropriation and conversion also violate this rule. 

Background Information 

Tracy Longstreet has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

During her 23 years of experience, she has registered with three firms: 

  • UBS Financial Services (CRD #: 8174) 
  • Morgan Stanley & Co. Incorporated (CRD #: 8209) 
  • Morgan Stanley DW (CRD #: 7556) 

Kurta Law Can Help 

If you have worked with Tracy Longstreet and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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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