Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Forbes (Forbes), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Forbes recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 06, 2020.
Trustee verbally alleged failure to follow instructions with respect to liquidation of shares in trust accounts. – January 2020 to February 2020