Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Sain (Sain), currently associated with Morgan Stanley, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sain 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 $750,000.00 on July 12, 2023.
Claimants alleges, inter alia, That the investments strategy executed in their account was unsuitable -2022- 2023