Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Katy Zhao (Zhao), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Zhao recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 21, 2025.
Client verbally alleged that their instructions to transfer the positions in their account in kind to the contra firm were not followed 2025