Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Erickson (Erickson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Erickson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 11, 2023.
Client alleged, inter alia, that her instructions to invest her funds in safe short-term investments were not followed. 2021-2022