Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Mason (Mason), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mason recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 18, 2023.
Claimants allege, inter alia, that the investment strategy executed in their account was unsuitable from January 2007 to February 14, 2023.