Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Carchia (Carchia), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Carchia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 14, 2023.
Claimant alleged, inter alia, that the investments strategy executed in the client’s account was unsuitable 2010-2023