Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tracy Bird (Bird), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Bird recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 18, 2023.
CLIENT’S WIFE/POA ALLEGES, INTER ALIA, THAT THE INVESTMENT STRATEGY IMPLEMENTED IN THE CLIENT’S ACCOUNT WAS UNSUITABLE 2021-2023