Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Drew Pickard (Pickard), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pickard 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 $5,200.00 on May 09, 2022.
Client alleged that the Advisor failed to follow the client’s instructions to liquidate her accounts prior to transfer. Allegation period May 3, 2022 to May 9, 2022.