Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Garrity (Garrity), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Garrity recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on August 28, 2025.
Claimant alleges, inter alia, misrepresentation with respect to covered call option strategy – 2023-to 2025