Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Snider (Snider), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Snider recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 23, 2020.
Client alleged that he instructed fa to reduce equities from 40% to 30% and move the 60% in fixed income in his managed account to cash in late February 2020. Damages unspecified