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 might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]
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