Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Batson (Batson), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Batson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 27, 2025.
CLIENT ALLEGED FAILURE TO FOLLOW INSTRUCTIONS WITH RESPECT TO IMPLENTATION OF CHANGE OF STRATEGY IN MANAGED ACCOUNT IN AUGUST 2025