Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lisa Matthews (Matthews), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Matthews recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a award / judgment customer complaint with a damage request of $972,124.00 on June 25, 2021.
Matthews was a subject of the customer’s complaint against her member firm that asserted the following causes of action: violation of FINRA Rule 2111; breach of duty; and violation of M.G.L. C. 93A.