Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jamie Duval (Duval), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Duval 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 $20,373.00 on April 13, 2026.
Client alleged that he would not have agreed to liqudiate his annuity held in a qualified plan to invest proceeds in a managed account if he had been advised that he would be subject to a 10% early withdrawal penalty 2025