Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Duffy (Duffy), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Duffy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 12, 2024.
Claimants alleged, inter alia, that investment strategy implemented in their accounts was not in their best interests 2021-2023
