Investors potentially incurred losses because of securities broker James Patrick Doherty III [CRD: 859882, Trail Creek, Indiana], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Doherty has worked for Morgan Stanley beginning June 1, 2009, and remains registered with the firm. Continue reading to discover more about the disclosures involving this individual.
Particularly, on July 24, 2025, an attorney for the executors of a deceased client’s estate filed a written complaint against Doherty while he was associated with Morgan Stanley. The complaint alleged that Doherty made unsuitable recommendations involving an options trading strategy over the period from 2015 through 2024. As a result, the client allegedly sustained losses related to options, and the complaint seeks $916,218 in damages. The matter is currently pending.
Specifically, a client of PaineWebber disputed Doherty’s sales practices by filing NASD Arbitration No. 95-01822. Allegedly, Doherty made misrepresentations. It appears that Doherty allegedly caused the client to incur damages relating to investments. Therefore, PaineWebber opted to settle the matter on August 24, 1995, by paying the client $247,425.08.
Do you need clarification on any investment losses relating to James Doherty? You can contact Soreide Law Group at (888) 760-6552 or online and talk to a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the country. Also, the firm takes cases on a contingency fee basis and advances all costs. Doherty and brokerage firms Doherty worked for deny allegations of sales practice violations.
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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, […]
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