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Samantha Hobart: Options Complaint Against Catalyst Group Advisor

A new investor complaint against Samantha Hobart (CRD# 6251748), a financial advisor in San Francisco, alleges seven-figure damages. Financial Industry Regulatory Authority records show that she is a broker and an investment advisor at Morgan Stanley, whose website describes her as part of The Catalyst Group. 

Complaint: Covered Call Strategy Was Unsuitable

Ms. Hobart’s BrokerCheck report discloses one investor complaint. Filed in October 2022, the complaint alleges that she recommended an unsuitable covered call strategy in 2021 and 2022. The pending complaint alleges damages of $1,315,300.

What Is The Catalyst Group at Morgan Stanley?

According to Morgan Stanley’s website, Ms. Hobart is part of an office at the firm known as “The Catalyst Group.” The group works with “individuals and busy professionals pursuing greater balance in their lives,” according to its description, which goes on to describe its shared belief with its clients in longstanding relationships between advisors and clients. “We’ve made it a priority to be advocates, empowering our clients to be confident in their decisions so they have the freedom to pursue their life goals,” the description states. “We do this through the development of a comprehensive financial plan that serves as a personalized roadmap to organizing and managing their finances.”

The Catalyst Group’s services include, but are not limited to, financial planning, wealth management, sustainable investing, retirement planning, stock plan services, philanthropic management, and estate planning strategies. Ms. Hobart’s personal biography on the page describes her credentials, including a degree from the University of California, Davis and an MBA from Dominican University of California. “Serving as an advocate, Samantha enjoys working with like-minded clients who value and appreciate the level of skill and service she delivers,” her profile states. “Her process goes much deeper than basic financial planning, integrating detailed analysis for both sides of a client’s balance sheet. Everything is personalized to the individual or family she is working with to help ensure assets for future expenditures are not only available when needed, but are working in tandem to deliver anticipated results in the most tax-efficient manner.”

FINRA: Hobart Based in San Francisco, California

According to the Financial Industry Regulatory Authority, Samantha Hobart has spent nine years working as a broker. She registered as a broker and an investment advisor with Morgan Stanley in 2013, where she has since worked in the firm’s San Francisco office. She has passed three securities industry qualifying examinations and holds 22 state licenses. (Information current as of November 23, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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