Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stephen Mills (Mills), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Mills recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 17, 2020.
Attorney for estate alleged, inter alia, that new FA team did not prevent conversion of funds by POA from accounts of now deceased client- 2013 to 2019