Stoltmann Law Offices is investigating Natalie H. Hall, a former broker with Morgan Stanley, who entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Hall was fined $5,000 and suspended from association with any FINRA member firm in any capacity for one month. Allegedly, Hall copied and pasted a customer’s signature on a wire transfer request form. The customer did not authorize Hall to paste his signature on the form in question. In a separate instance, Hall copied and pasted another customer’s signature on an electronic funds transfer service form and forged the customer’s initials on that form. The customer did not authorize Hall to paste her signature on that form or allow her to forge her initials.
Hall was registered with Morgan Stanley in Kansas City, Missouri from November 1999 until October 2013. She has no customer disputes against her and is not licensed within the industry. Member firms such as Morgan Stanley are responsible for supervising a registered representative’s activities during the time she is registered with the firm. If you invested money with Natalie H. Hall, and would like to speak to an attorney regarding your options of suing Morgan Stanley in the FINRA arbitration process, please call our securities law firm for a free consultation with an attorney. There is no obligation and we take cases on a contingency fee basis only. We are based in Chicago, Illinois. 312-332-4200.
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