Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Mihalek (Mihalek), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mihalek recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 31, 2024.
Customer alleges unauthorized trading regarding managed account investments. Activity dates 11.30.23 – 12.14.23.