Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on August 23, 2016 indicate that California-based Morgan Stanley broker/adviser James Lacey has received customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lacey (CRD# 3087081).
James Lacey has spent 18 years in the securities industry and has been registered with Morgan Stanley in Pleasanton, California since October 2015. Previous registrations include Merrill Lynch in San Francisco, California; UBS Financial Services in Weehawken, New Jersey; US Bancorp Piper Jaffray in Minneapolis, Minnesota; Salomon Smith Barney in New York, New York; and Fasco International in Walnut, California. He is a registered broker and investment adviser with 14 US states and territories.
According to his BrokerCheck report, James Lacey has received two customer complaints and is the subject of two financial disclosures.
In 2013, a customer alleged James Lacey, while employed at Merrill Lynch, executed unauthorized trades, misrepresented and omitted material facts, and made an unsuitable investment recommendation. The complaint settled for $14,900.
In 2010, a customer alleged James Lacey, while employed at UBS Financial Services, breached his fiduciary duty, breached contract, committed fraud, made unsuitable recommendations, and acted negligently. The complaint settled in 2011 for $240,000.
In 2010, James Lacey filed for Chapter 13 bankruptcy in the United States Bankruptcy Court for the Northern District of California. The filing was closed as of February 2016.
In May 2010, James Lacey filed for Chapter 17 bankruptcy in the United States Bankruptcy Court for the Northern District of California. The filing was closed as of August 2010.
If you have complaints regarding James Lacey, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.