Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Westerman (Westerman), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Westerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 13, 2023.
Client’s attorney alleges, inter alia, that investments and strategy recommended by FA were unsuitable, 2021-2023