Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Horace Barker (Barker), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Barker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,608,876.00 on November 02, 2022.
Claim alleges, inter alia, breach of fiduciary duty with respect to FA’s lack of prevention of withdrawals made by unauthorized third party from client’s account.