Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Butt (Butt), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Butt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 16, 2021.
Client alleged that their instructions not to initiate trading in their managed accounts until they received and approved an investment proposal were not followed. 2020 damages unspecified