Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Fenning (Fenning), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Fenning 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 $173,000.00 on May 05, 2020.
Time frame: 2014 – 2015 Claimant’s counsel alleges unsuitability and negligence with respect to recommendations and investment of accounts.