Articles Tagged with james o keefe

AdobeStock_91053286-1-300x194If you or someone you know has lost money with James O’Keefe, you may be able to recover those losses by suing his former firm, Morgan Stanley, in the Financial Industry Regulatory Authority (FINRA) arbitration forum on a contingency fee basis. Mr. O’Keefe was accused of recommending unsuitable stocks from 2001 until 2015. In 2014, he was accused of recommending unsuitable stock investments from October 2007 until September 2014. In a separate complaint, O’Keefe, while registered with Merrill Lynch, was accused of making unsuitable investments and churning accounts. Churning is an especially egregious violation of securities laws, in that it typically leads to large commissions for the broker when he trades in and out of securities, sometimes on a daily basis. It also typically leads to unnecessary fees for the client. Please call us today to speak to an attorney for free about your options of suing Morgan Stanley in the FINRA arbitration forum. The call is free with no obligation.
James W. O’Keefe was previously registered with Thomas James Associates from February 1988 until March 1988, Waddell & Reed from June 1988 until October 1988, Merrill Lynch in New York from January 1990 until August 2001, and Citigroup Global Markets in New York from August 2001 until June 2009. He is currently registered with Morgan Stanley in New York, and has been since June 2009. He has four customer disputes against him, alleging unsuitable stock purchases, churning, and other things. He has one criminal final disposition against him.

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