Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Budd (Budd), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Budd recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on November 08, 2021.
Claimant alleges, inter alia, unsuitability with respect to concentrated investment in managed account – April, 2019.