Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Lerner (Lerner), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lerner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 17, 2023.
Client’s attorney alleges, inter alia, that liquidity access line established by the client’s deceased husband was not appropriate for the client to maintain 2021-2023