Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Duckett (Duckett), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Duckett recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on March 19, 2026.
Client alleged, inter alia, that covered call option strategy implemented in his account was misrepresented leading to the loss of some of his shares that were called and the chance to participate in the appreciate of the stock