Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garett Engel (Engel), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Engel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 05, 2025.
Claimant alleges violations of Reg BI and misrepresentation regarding a covered call options strategy implemented resulting in significant losses – May 2025 to July 2025.