Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Liu (Liu), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Liu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 12, 2025.
CLIENT ALLEGES MISREPRESENATION WITH RESPECT TO INVESTMENT STRATEGY IMPLEMENTED IN HER ACCOUNT