Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Sherman (Sherman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Sherman 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 $259,743.41 on April 09, 2021.
Claimant alleges, inter alia, unsuitability with respect to investment and management of account \\u00e2?” October, 2006 to May, 2020