Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aalon Rose (Rose), currently associated with Morgan Wilshire Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rose recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $29,479.81 on January 18, 2023.
Unauthorized trades, unsuitability, good faith & fair dealing, ans missrepresation