The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New York-based Morgan Stanley broker/adviser Shelley Bergman (CRD# 1253691).
Shelley Bergman has spent 31 years in the securities industry and has been registered with Morgan Stanley in New York and Purchase, New York since 2009. Previous registrations include Morgan Stanley & Company in New York, New York (2008-2009); Bear Stearns & Company in New York, New York (1988-2008); LF Rothschild & Company (1987-1988); Janney Montgomery Scott (1985-1987); Brodis Securities (1984-1985); and Vantage Securities of Colorado (1984-1985).
According to his BrokerCheck report, Shelley Bergman is the subject of two customer complaints and two customer complaints that were closed or withdrawn.
In 2010 a customer alleged Shelley Bergman, while employed at Bear Stearns, misrepresented and omitted material facts related to an investment in auction rate securities. The complaint settled in 2013 for $350,000.
In 2009 a customer alleged Shelley Bergman, while employed at Bear Stearns, recommended an unsuitable investment. The customer sought unspecified damages in the complaint, which was closed with no action taken.
In 2007 a customer filed a complaint against Shelley Bergman alleging an inconsistency between a described investment strategy and the actual investments. The complaint settled for $2,333,333.
In 2007 two customers alleged Shelley Bergman, while employed at Bear Stearns, was responsible for an inconsistency between a described investments strategy and the actual investments. The customers sought unspecified damages in the complaints, which were both withdrawn.
If you or someone you know has a complaint regarding Shelley Bergman, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup losses. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.