Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brendan Cefalu (Cefalu), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Cefalu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on April 14, 2025.
Claimant alleges, inter alia, that the trade executed in his account was unauthorized – March 2024