Investors have reportedly disputed the sales practices of securities broker William Joseph Jones [CRD: 1030683, San Rafael, California], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Jones has worked for Morgan Stanley beginning on June 1, 2009, and remains registered with the firm. Investors are encouraged to review the information below to discover more about the client disputes disclosed on Jones’s FINRA record.
Specifically, on December 8, 2025, a Morgan Stanley client filed a complaint about William Jones. Primarily, the client alleged that Jones did not manage her account in her best interest during the period from 2020 through 2025. Because of this, the client allegedly experienced damages involving stocks. Consequently, the client requested $34,652.65 in compensation from Morgan Stanley or Jones. This client dispute remains pending.
Evidently, a client of Morgan Stanley disputed William Jones’s sales practices, according to a complaint dated March 15, 2016. Allegedly, Jones made unsuitable recommendations between 2014 and 2016. It appears that Jones allegedly caused the client to incur damages relating to stocks. Therefore, the client sought compensation from Morgan Stanley or Jones in the amount of $135,000 in this matter. The complaint was later denied, with no settlement paid.
Notably, a Morgan Stanley Dean Witter client filed NASD Arbitration No. 00-03869 about William Jones. Mainly, the client alleged that Jones was negligent, breached his fiduciary duty, and breached a contract. For this reason, the client allegedly incurred damages. As a result, on March 19, 2002, a FINRA Arbitration Panel issued an Award ordering Morgan Stanley Dean Witter and Jones to pay the client $12,000 in damages.
Do you have concerns or questions regarding investments you made with William Jones? You can contact Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm represents investors on a contingency fee basis and advances all costs. Jones and brokerage firms Jones worked for deny accusations of sales practice violations.
Moors & Cabot, Inc. (CRD 594) is a brokerage firm based in Boston, Massachusetts. FINRA censured and fined the firm $125,000 after finding it failed to develop and implement an anti-money laundering compliance program reasonably expected to detect and report suspicious transactions, according to an AWC issued August 24, 2026.
Cowen and Company, LLC (CRD 7616), now part of TD Securities (USA) LLC, is a brokerage firm based in New York, New York. FINRA censured and fined the firm a total of $80,000, of which $40,000 is payable to FINRA, according to an AWC issued August 19, 2026.
Webull Financial LLC (CRD 289063) is a brokerage firm based in New York, New York. FINRA censured and fined the firm $115,000 after finding it maintained inaccurate books and records of options order origin codes, according to an AWC issued August 17, 2026.
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