James Sophia (CRD #: 3222645), a broker registered with Morgan Stanley, is facing an investor dispute over misrepresentations and unsuitable recommendations, according to his BrokerCheck record, accessed on January 26, 2021. There are other disclosures on his record that investors should know about – keep reading to find out more.

Broker fraud

On December 22, 2020, an investor alleged that James Sophia misrepresented certain investments and made unsuitable investment recommendations. The investor is seeking $88,650; the dispute is pending.

On September 20, 2011, an investor alleged that Sophia failed to follow instructions. The dispute settled for $8,484.90.

James Sophia has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in 14 states and a registered investment adviser in Ohio.

During his 21-year career, Sophia has worked at the following firms:

  • Morgan Stanley (CRD #: 149777)
  • Merrill Lynch, Pierce, Fenner & Smith (CRD #: 7691)
  • UBS Financial Services (CRD #: 8174)
  • Wachovia (CRD #: 19616)

If James Sophia was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

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