Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Peterson (Peterson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Peterson 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 $5,000.00 on July 22, 2021.
CLIENT’S ATTORNEY ALLEGES FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO INVESTMENTS 2018-2021