Last Updated: March 2026 — Vero Beach, FL
Here’s what you need to know about Vero Beach, FL stockbroker James Claude Britt:
- Name: James Claude Britt
- CRD Number: 4523267
- Current Employer: Morgan Stanley (Registered Representative and Investment Adviser Representative since September 2010)
- Prior Firms:
- UBS Financial Services Inc. (2007–2010)
- UST Securities Corp. (2004–2007)
- PNC Capital Markets, Inc. (2002–2003)
- Stockbroker / Financial Advisor: Yes
- Can Broker be Sued in FINRA: Yes
- Highest Award or Settlement: $150,000
- Current Customer Dispute Seeks Total Damages of: Not yet specified
If you’ve sustained damages from Mr. Britt, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With James C. Britt As Your Stockbroker?
James C. Britt has been the subject of two customer disputes, including one settled matter involving structured products and one currently pending FINRA arbitration involving options trading strategies.
Structured Notes Arbitration – $150,000 Settlement (2013)
A customer of UBS Financial Services alleged that Britt recommended unsuitable and risky structured notes in 2008. The claimant alleged that the structured notes were inappropriate given the client’s risk profile and investment objectives.
- Product Type: Structured Products
- Alleged Damages: $500,000
- Settlement Amount: $150,000
- FINRA Case No.: 11-04326
Pending FINRA Arbitration – Options Strategy (September 2025)
A customer of Morgan Stanley alleges that an options trading strategy recommended by Britt in trust accounts between January 2018 and May 2025 was unsuitable and misrepresented. This FINRA arbitration is currently pending and a specific damage amount has not yet been established.
Options strategies can involve substantial risk, including leverage, volatility exposure, and potential for significant losses if not aligned with an investor’s objectives and tolerance for risk.
Allegations of Broker Misconduct Against James Claude Britt
- Unsuitability — Recommending structured notes or options strategies inconsistent with a client’s investment profile may violate FINRA Rule 2111 (Suitability) and, for retail customers after June 30, 2020, SEC Regulation Best Interest (Rule 15l-1).
- Misrepresentation — Allegations that risks of structured products or options strategies were not properly explained may implicate FINRA Rule 2020 and Rule 2010.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by James Claude Britt, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
- See this for our prior investigations of Merrill Lynch brokers.
- Investigations of Other Morgan Stanley Brokers
- Firms We Have Pursued On Behalf of Our Clients
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.