Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Newman (Newman), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Newman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 27, 2023.
Claimant alleged that the FA recommended a portfolio that was too aggressive for his risk tolerance.