Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Lindsay (Lindsay), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lindsay recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 06, 2020.
Client alleges that he gave instructions in September 2019 to reallocate his account to all no-risk investments and his instructions were not followed. Damages unspecified