Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Thistlethwaite (Thistlethwaite), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 tax liens, alleging that Thistlethwaite recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on December 11, 2024.
See Order No. 24-045 Notice of Opportunity for Hearing and Notice of Intent to Suspend/Revoke/Issue Cease and Desist Order for complete allegations.
