Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Remis (Remis), previously associated with Morgan Stanley, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Remis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on March 03, 2021.
Given Matthew H. Remis’ three (3) disclosure incidents, the Massachusetts Securities Division is allowing his registration as an investment adviser representative in Massachusetts pursuant to a two (2) year plan of heightened supervision.