Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Moriarity (Moriarity), currently associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Moriarity recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on May 21, 2024.
Claim alleges, inter alia, that the short hedge investment strategy he utilized while his account was at Morgan Stanley was not in his best interests. 1998-2004