Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Heidi Chamberlain (Chamberlain), currently associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Chamberlain concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a pending customer complaint on December 09, 2024.
Customers allege unauthorized purchases and sales of assets, excessive transactions or excessive commissions, inappropriate asset purchases, and lack of analysis as to appropriate assets to purchase, during the timeframe of 2019 through 2024.