David Turetzky (CRD #: 2954337), a broker and an investment adviser registered with Ameriprise Financial Services, is facing multiple allegations that he failed to supervise, according to his BrokerCheck record, accessed August 26, 2020.
On June 3, 2020 and, subsequently on July 2, 2020, multiple clients filed complaints alleging that David Turetzky mismanaged his clients’ accounts. These disputes are pending.
On August 14, 2018, clients alleged that Mr. Turetzky failed to supervise accounts. The matter settled for $1,200,000.
David Turetzky has passed the Series 65 Uniform Investment Adviser Law Examination, Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 3 National Commodity Futures Examination, the Series 31 Futures Managed Funds Examination, the Series 7 General Securities Representative Examination, the Series 10 General Securities Sales Supervisor – General Module Examination, and the Series 9 – General Securities Sales Supervisor – Options Module Examination. He is a registered broker in Arkansas, Massachusetts, New Jersey, Texas, and Utah. He is also a registered investment adviser New Jersey and Texas.
David Turetzky has worked at the following firms:
- Liberty Partners Capital Management LLC (CRD #: 131117)
- Liberty Partners Financial Services LLC (CRD #: 130390)
- Morgan Stanley (CRD #: 149777)
- Morgan Stanley & Co. Inc. (CRD #: 8209)
- Morgan Stanley (CRD #: 7556)
- Trevor, Cole, Reid, & Monroe, Inc. (CRD #: 11065)
- First Institutional Securities LLC (CRD #: 23910)
If David Turetzky was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys at Fitapelli Kurta. Call (877) 238-4175 or email email@example.com for your free case consultation with a securities attorney.