Securities Lawyers Blog
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Roxann Seaton (Seaton), previously associated with Morgan Stanley, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Seaton concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $170,000.00 on March 05, 2020.
Claimant’s POA agent alleged, inter alia, excessive trading with respect to investments. Sept 2012 to Feb 2019