Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Manning (Manning), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Manning recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on April 04, 2023.
In a life insurance broker renewal application form, Mr. Manning failed to list that he was a party in a FINRA customer arbitration proceeding.