Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Friedman (Friedman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Friedman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $87,000.00 on May 04, 2023.
Customer alleges unsuitable recommendation regarding managed account investment. Activity dates 4/28/2020 to 5/9/2023.