Former Morgan Stanley broker James Tighe (CRD# 3129233) is accused of unauthorization. He was registered with Morgan Stanley in Phoenix, Arizona, from 2009 to 2025, when he was terminated regarding, “Concerns relating to representative’s acceptance of instructions from a third party without ensuring receipt of the Firm’s approved written authorization form, failure to fully disclose to management allegations of potential unauthorized activity by a third party, and use of a personal device to communicate in writing about Firm business, among other concerns.”
In December 2025, FINRA made a preliminary determination to recommend that disciplinary action be brought against the broker.
James Tighe Customer Complaints
He has been the subject of two customer complaints between 2009 and 2024, one of which was denied, according to his CRD report:
March 2024. “Clients alleged, among other things, that their FA processed withdrawals and other disbursements made by their agent without proper authorization.” The customer sought $16,000,000 in damages, and the case was settled for $1,375,000.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Morgan Stanley may be liable for investment or other losses suffered by James Tighe’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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