Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Janet Shepherd (Shepherd), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Shepherd recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 29, 2025.
Client alleges that if she had been warned of the potential tax consequences of liquidating her current holdings in order to establish a new managed account, she would not have agreed to the strategy. 2024