Investors might have sustained losses due to securities broker James Eric Monken (also known as Jimmy Monken) [CRD: 5765921, Clayton, Missouri], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Monken worked for Morgan Stanley beginning September 11, 2012, and has remained registered with that firm since that time. Read on to discover more about the disclosures involving this securities broker.
Notably, on September 20, 2023, a Morgan Stanley Smith Barney client filed FINRA Arbitration No. 23-02561 about James Monken. Primarily, the client alleged that Monken engaged in sales practice violations by implementing a trading strategy that was not in the client’s best interest during the period of 2020 through 2022. Because of this, the client allegedly incurred damages. As a result, FINRA Arbitrators issued an Award dated March 24, 2026, in the amount of $225,000.
Specifically, a client of Morgan Stanley Smith Barney disputed James Monken’s sales practices by filing FINRA Arbitration No. 23-02046. Allegedly, Monken made misrepresentations regarding investments tied to managed accounts between 2021 and 2022. It appears that Monken allegedly caused the client to sustain damages. Therefore, FINRA Arbitrators issued an Award dated February 6, 2026, in the amount of $400,000.
Did you suffer any investment-related losses because of James Monken? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for many investors throughout the US. Also, our securities attorneys work on a contingency fee arrangement and advance all costs. Monken and brokerage firms Monken worked for deny any allegations of sales practice violations.
Investors potentially incurred losses because of securities broker Kenneth Joseph Arena (also known as Ken Arena and Kenny Arena) [CRD: 6997, Pompano Beach, Florida], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Arena worked for Cetera Wealth Services LLC from December 1, 2023, to the present, Cetera Investment Advisers LLC […]
Investors apparently complained about securities broker Benjamin Joseph Sweeney (also known as Ben Sweeney) [CRD: 2885369, Dallas, Texas], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benjamin Sweeney worked for Morgan Stanley from June 1, 2009, to the present. See the following information to learn more about disclosures involving Benjamin Sweeney. Morgan […]
Investors have reportedly disputed the sales practices of securities broker Richard James Roberts (also known as Rick Roberts) [CRD: 2145874, Laguna Niguel, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Richard Roberts has worked for TCFG Wealth Management LLC since December 11, 2012. Read on to find out more […]
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