Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carlo Licata (Licata), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Licata 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 $50,000.00 on September 12, 2023.
Claimant alleges, inter alia, that his accounts were not managed in his best interests 2022-2023