Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Higgins (Higgins), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Higgins recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 08, 2022.
Claimant alleged, inter alia, failure to supervise with respect to Financial Advisor’s management of accounts – 2016 to 2020.