Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nini Wu (Wu), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Wu recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 20, 2026.
Client alleges, inter alia, misrepresentation with respect to purchase of alternative investment 2021