Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Auyeung (Auyeung), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Auyeung recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 16, 2023.
Claimant alleged, inter alia, that the investments strategy executed in the client’s account was unsuitable 2013-2023