Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Halperin (Halperin), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Halperin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 30, 2024.
Client alleges failure to follow instructions related to investing his IRA funds into two index fund ETFs and failure to make any recommendations to invest those funds.
