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.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
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