Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Spector (Spector), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Spector recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on October 02, 2023.
CLIENT’S ATTORNEY ALLEGES, INTER ALIA, THAT THE COVERED CALL STRATEGY RECOMMENDED WAS UNSUITABLE 2019-2023.