Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sophie Stevens (Stevens), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Stevens recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on August 14, 2025.
The client alleged the advisor did not manage account and let funds sit uninvested.