Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Tolk (Tolk), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Tolk recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 14, 2022.
CLIENT ALLEGED THAT THERE WERE UNAUTHORIZED TRADES DONE IN THEIR ACCOUNT 2022 DAMAGES UNSPECIFIED