Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sally Ann Weger (Weger), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Weger 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 $400,000.00 on April 28, 2023.
Claimant alleges, inter alia, breach of fiduciary duty with respect to transfer of death designation added to the client’s account.