Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Wingerter (Wingerter), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wingerter 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 $75,000.00 on September 18, 2024.
Time frame: July 2011 to 2023 Allegations: Claimant’s counsel alleges UBS failed to do adequate due diligence on a fund of funds, which counsel alleges was unsuitable for any investor, and as a result all relevant risks were not disclosed to investors.
