Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carol Brookman (Brookman), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Brookman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 05, 2020.
Trustee alleges that they did not authorize trades in their trust account in November 2019 which resulted in significant tax ramifications damages unspecified