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.
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Investors apparently complained about securities broker Richard James Carlesco Jr. [CRD: 2135988, Liverpool, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carlesco worked for IBN Financial Services Inc. from October 24, 2000, to the present, and later registered with Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. beginning April […]
Investors potentially experienced sales practice violations by securities broker Steven Wallace Schmitt [CRD: 4486457, Paramus, New Jersey], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schmitt worked for Raymond James Associates Inc. since November 9, 2022, and previously worked for Morgan Stanley from October 7, 2016, to November 29, 2022. […]
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