Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roy Pfeffer (Pfeffer), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Pfeffer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 24, 2021.
CLIENT ALLEGED, INTER ALIA, THAT THE PURCHASE OF AN ALTERNATIVE INVESTMENT CRYPTOCURRENCY FUND WAS MISREPRESENTED. – May 2021 to June 2021