Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Smith (Smith), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Smith 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 $200,000.00 on August 24, 2020.
Claimants alleges, inter alia, that investments sold to them were unsuitable – 8/1/2016 to 7/31/2020