Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darryl Cohen (Cohen), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Cohen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 25, 2024.
Client alleged, inter alia, that the investment strategy implemented in his accounts was not in his best interests 2015 – 2021