Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jianmin Gu (Gu), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 28, 2025.
CLIENT ALLEGES MISREPRESENTATION WITH RESPECT TO SHARE CLASS, INTERNAL FEES AND PLACEMENT FEE IN RELATION TO HEDGE FUND INVESTMENT 2025