Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Traci Marchi (Marchi), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Marchi 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 $370,464.35 on June 27, 2024.
From approximately early March 2017 through approximately summer 2018, in connection with an outside business activity not involving the Firm, the plaintiff alleges common law fraud, elder abuse, breach of fiduciary duty, improper receipt of fund, unjust enrichment, conversion, intentional interference with contracts, and breach of contract related to an investment in a limited liability company that owned real estate.
