KURT E CHASE

KURT E CHASE is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 665 WOODLAND SQ LOOP SE, LACEY, WA, 98503.

KURT E CHASE has worked at CETERA INVESTMENT SERVICES LLC since June 07, 2010

Disclosure History

KURT E CHASE has 1 Disclosure Event(s).

Date: March 30, 2004
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT HER BROKER PROVIDED UNSUITABLE INVESTMENT ADVICE.
Damage Amount Requested: $140,000.00
Broker Comment: MR. CHASE VIGOROUSLY DENIES ANY WRONGDOING. AFTER A COMPLETE INVESTIGATION OF THE FACTS ALLEGED IN THE LETTER OF COMPLAINT, MORGAN STANLEY DETERMINED THAT NO WRONGDOING OCCURRED AND DENIED THE CLAIM IN ITS ENTIRETY.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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