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Kathy Entwistle: $2.4 Million Complaint Against Morgan Stanley Advisor
Paramus financial advisor Kathy Entwistle (CRD# 2832985) allegedly recommended an unsuitable options overlay strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor with Morgan Stanley, having previously been registered with UBS Financial Services.
Ms. Entwistle’s BrokerCheck report discloses two investor complaints. The most recent, filed in November 2022, alleges that as a representative of UBS Financial Services, she made misrepresentations and unsuitable recommendations to invest in and hold an options overlay strategy. The pending complaint alleges damages of $500,000.
A second investor complaint, filed in August 2021, alleges that as a representative of UBS Financial Services and Morgan Stanley, he made misrepresentations regarding the status and performance of investments and violated Regulation Best Interest. The pending complaint alleges damages of $2,433,075.74.
According to the Financial Industry Regulatory Authority, Kathy Entwistle holds 25 years of securities industry experience. Based in Paramus, New Jersey, she has been a broker and an investment advisor with Morgan Stanley since 2020. Her past registrations include UBS Financial Services (Paramus, New Jersey; 2007-2020), Morgan Stanley & Company (Paramus, New Jersey; 2007), Morgan Stanley DW (Paramus, New Jersey; 2001-2007), and CJM Planning Corporation (Pompton Lakes, New Jersey; 1997-2001). Her credentials include the passage of six securities industry qualifying exams: the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Representative Examination, or Series 7; the Futures Managed Funds Examination, or Series 31; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. She holds 30 state licenses. (Information current as of December 13, 2022.)
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