Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Ridell (Ridell), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Ridell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on April 23, 2020.
Time frame: Early 2017-Present \<char_lb_r>\, \<char_lb_r>\, Allegations: Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.