James Robert Willing of Boston Massachusetts a stockbroker registered with Morgan Stanley Wealth Management has been discharged by the firm on January 29, 2018 supported by allegations that Willing failed to be forthcoming with the firm regarding his participation in private investment transactions that had been executed away from the firm.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on February 18, 2003, a customer initiated investment related complaint involving Willing’s conduct was resolved for $118,850.00 in damages based upon accusations that Willing neglected to abide by the customer’s instructions of diversifying the customer’s investment portfolio so that it would conform to the customer’s risk profile, resulting in the customer’s assets having been overconcentrated in speculative equities.
Willing has been employed by Moors & Cabot, Inc. since March 29, 2018.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
