Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Octigan (Octigan), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Octigan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 30, 2021.
Claimant alleged failure to supervise with respect to Financial Advisor’s management of accounts – May 2017 to July 2018.