Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Chen (Chen), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Chen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 09, 2024.
Client alleged failure to follow instructions with respect to the sales of three securiites that he did not want sold when his managed account was incepted. January 2024
