Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Britt (Britt), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Britt recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 29, 2025.
Claimants allege, inter alia, that the options trading strategy implemented in their trust accounts between Jan 2018 and May 2025 was unsuitable and misrepresented.