Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sylvia Gort (Gort), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Gort recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 29, 2021.
CLIENT VERBALLY ALLEGED IN APRIL 2021 THAT SHE DID NOT AUTHORIZE THE SALE OF 2000 SHARES OF SMED WHICH HAD BEEN SOLD IN HER ACCOUNT BACK IN DECEMBER 2018. THE CLAIM WAS SETTLED FOR $30,283.59.