Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Tighe (Tighe), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Tighe recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $16,000,000.00 on March 18, 2024.
Clients alleged, among other things, that their FA processed withdrawals and other disbursements made by their agent without proper authorization.