Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenper Miller (Miller), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on November 04, 2024.
Claimant alleged, inter alia, that the options trading strategy executed in his managed account was unsuitable – 2018 to 2020