Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joan Marron (Marron), currently associated with Morgan Stanley & CO. LLC, has at least one disclosable event. These events include one customer complaint, alleging that Marron recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 12, 2021.
Plaintiff alleges, inter alia, breach of duty and bad faith in connection with its investment banking relationship with Morgan Stanley. 2018-2020.