Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Dow (Dow), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory, alleging that Dow recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 06, 2025.
Without admitting or denying the findings, Dow consented to the sanction and to the entry of findings that he refused to produce documents requested by FINRA in connection with its investigation into a Form U5 filed by his member firm relating to his administration of a family member client’s estate. The findings stated that the firm filed the U5 disclosing that Dow had terminated his association with the firm while under internal review for non-Firm approved activities involving representative’s family member, including serving as an executor of the family member’s estate and activities with respect to two outside checking accounts held with the family member.
