Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Tracy Stines (Stines), previously associated with Morgan Stanley, has at least one disclosable event. These events include one customer complaint, alleging that Stines 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 $15,200.00 on March 11, 2020.
The client alleged the FA did not follow his instructions to liquidate a mutual fund.