Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Lewis (Lewis), currently associated with Morgan Stanley, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Lewis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 28, 2022.
Client alleged that his best interests were not taken into consideration when he took a lump sum distribution. The client claimed that he received no guidance regarding what was the best way for him to receive inherited funds as a beneficiary of an IRA.