Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Pye (Pye), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pye recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 01, 2020.
Client alleges that his former fa purchased a corporate bond in his account without his authoization. 2020 damages unspecified