Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Jennings (Jennings), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Jennings recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 09, 2021.
CLIENT ALLEGED, INTER ALIA, THAT THE RECOMMENDATION TO OPEN A MANAGED ACCOUNT WHICH LED TO ALL OF HER STOCKS BEING LIQUIDATED\, CAUSING SUBSTANTIAL CAPITAL GAINS WAS NOT IN HER BEST INTEREST. 2021 DAMAGES UNSPECIFIED