There are options for clients of Morgan Stanley broker James Doherty III (CRD# 859882) who suffered investment losses. He has been registered with Morgan Stanley in Chicago, Illinois, since 2009.
James Doherty III Customer Complaints
He has been the subject of two customer complaints between 1995 and 2025, according to his CRD report. The most recent complaint was regarding:
July 2025. “Claimants allege, inter alia, unsuitability with respect to account management and investments from Jan 2018 to October 2025.” The customer is seeking $2,497,430.74 in damages, and the case is currently pending. The complaint was regarding options losses.
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 Doherty III’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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