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.
Investors have reportedly disputed the sales practices of securities broker John B. Darmanian [CRD: 2899924, Montrose, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Darmanian worked for Western International Securities Inc. from September 11, 2009, to June 5, 2025, before joining LPL Financial LLC on June 5, 2025. Investors […]
Investors potentially experienced sales practice violations by securities broker James Patrick Jenkins [CRD: 5261717, Logan, Utah], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jenkins worked for Wealth Enhancement Brokerage Services LLC and Wealth Enhancement Advisory Services LLC since January 2, 2026, and previously worked for firms including Strategic Advocates LLC from September […]
Investors might have sustained losses due to securities broker Maria Karina Valido (also known as Maria Karina Payret) [CRD: 6324596, Miami, Florida], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Valido worked for Infinex Investments Inc. from February 17, 2015, to April 22, 2022. Keep reading to find out more about […]
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