Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Lawless (Lawless), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Lawless recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 26, 2020.
Client alleges failure to follow instructions with respect to risk of investments and their liquidation. 2020 damages unspecified