Investors potentially experienced sales practice violations by securities broker James Claude Britt (also known as J.C. Britt) [CRD: 4523267, Vero Beach, Florida], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Britt has been registered with Morgan Stanley as a broker since September 8, 2010, and as an investment adviser since September 17, 2010. See below to discover more about Britt’s disclosures.
Notably, on September 29, 2025, a Morgan Stanley client filed FINRA Arbitration No. 25-02062 about James Britt. Primarily, the client alleged that Britt implemented an options trading strategy in their trust accounts that was unsuitable and misrepresented. Because of this, the client allegedly sustained damages connected to options. Therefore, the client requested compensation from Morgan Stanley or Britt. It appears that this arbitration is awaiting a resolution.
Evidently, a client of UBS Financial Services Inc. contested James Britt’s sales practices by filing FINRA Arbitration No. 11-04326. Allegedly, Britt made unsuitable recommendations in risky structured notes. It appears that Britt allegedly caused the client to sustain damages. As a result, UBS Financial Services Inc. opted to settle the matter on April 25, 2013, by compensating the client in the amount of $150,000.
Are you concerned regarding investments you made with James Britt? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee basis and advances all costs. Britt and brokerage firms Britt worked for deny accusations of sales practice violations.
Investors have reportedly disputed the sales practices of securities broker Mark James Bloom [CRD: 6933619, Atlanta, Georgia], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mark Bloom worked for Avantax Investment Services Inc. and Avantax Advisory Services from March 26, 2021, to September 5, 2025, and later registered with Cetera Wealth […]
Investors potentially incurred losses because of securities broker Raymond Edward DesRosiers (also known as Ray DesRosiers) [CRD: 4621826, Greenwich, Connecticut], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. DesRosiers worked for Emerson Equity LLC from March 24, 2017, to May 2, 2022, WealthForge Securities LLC from May 6, 2022, to March 1, […]
Investors potentially experienced sales practice violations by securities broker Shannon Dwain Moore [CRD: 2934682, Jefferson City, Tennessee], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Shannon Moore has worked for LPL Financial LLC since October 11, 2011, where he has been registered while serving clients in Tennessee. Investors should continue reviewing the information […]
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