Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Caldwell (Caldwell), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Caldwell 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 $1,200,000.00 on September 20, 2024.
Claimant alleges, inter alia, that the Option Trades Executed in his account were unauthorized – April 2022 through November 2023
