Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Ross (Ross), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Ross recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 06, 2023.
Client verbally complained that the sale of stock in her account was unauthorized. – September 2022 – March 2023