Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Smith (Smith), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Smith recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $757,751.69 on February 18, 2025.
Claimant alleges, inter alia, unsuitability with respect to sale transactions executed in elderly client’s account in order to transfer funds after claimant had alerted FA team of scam – August 2023 to October 2023
