Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Doherty (Doherty), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Doherty recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $916,218.00 on July 24, 2025.
ATTORNEY FOR EXECUTORS OF ESTATE OF DECEASED CLIENT ALLEGES THAT OPTION TRADING STRATEGY WAS UNSUITABLE FOR THE CLIENT 2015-2024