Investors apparently complained about securities broker James David Garrity [CRD: 2005714, Salt Lake City, Utah], according to public information on FINRA BrokerCheck. Evidently, Garrity has been registered with Morgan Stanley since December 7, 2015, and is based in Salt Lake City, Utah, and La Jolla, California. Continue reading to learn more about Garrity’s reported disclosures and the details of the allegations.
Notably, on August 28, 2025, a Morgan Stanley Smith Barney client filed FINRA Arbitration No. 25-01798 about James Garrity. The client alleged that Garrity made misrepresentations of material fact related to a covered call option strategy between 2023 and 2025. Because of this, the client allegedly sustained damages. As a result, the client requested compensation from Morgan Stanley Smith Barney or Garrity. It appears that this arbitration is pending a resolution.
Specifically, a client of Goldman, Sachs Co. contested James Garrity’s sales practices, according to a complaint. Allegedly, Garrity made misrepresentations of material fact concerning the risks of writing covered calls against a long stock position. It appears that Garrity caused the client to sustain damages. Therefore, Goldman, Sachs Co. opted to settle the matter on October 8, 1999, by compensating the client in the amount of $352,000.
Do you need clarification on any investment losses relating to James Garrity? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities lawyer about a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the United States. Also, the firm takes cases on a contingency fee basis and advances all costs. Garrity and brokerage firms Garrity worked for deny accusations of sales practice violations.
KEVIN CHRISTOPHER MCCARTHY (KEVIN C MCCARTHY) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/7/2026. McCarthy was registered as a broker with MADISON AVENUE SECURITIES LLC of Hialeah, Florida, from 12/04/2007 - 01/30/2026. McCarthy was previously registered both as a broker […]
Investors might have sustained losses due to securities broker William H. Grant [CRD: 4219455, Duluth, Georgia], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Grant has been registered with Merrill Lynch since October 23, 2009, as both a securities broker and financial advisor. Investors are encouraged to continue reading to find […]
Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]
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