Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Martin (Martin), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Martin 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 $303,600.00 on April 02, 2026.
Client’s attorney alleged, inter alia, that the fa solicited a personal loan of $303600 from the client in December 2020 which he has refused to repay unless the client grants him a broad release