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Gripeo > Blog > Red Flags > John Duffy- Has He Been Involved in Lawsuits and SEC Litigations?
Red Flags

John Duffy- Has He Been Involved in Lawsuits and SEC Litigations?

Last updated: December 22, 2023 7:37 am
GripeO - Web Desk
Published: December 22, 2023
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1

Who is John Duffy (CRD#: 2402030)?

John Duffy serves as a finance counselor based in Indianapolis, Indiana, with 11 years of appropriate expertise. John Duffy is currently employed by Morgan Stanley. The advisor, John Duffy has previously worked at the brokerage firm Morgan Stanley Wealth Management. 

John Duffy carries Series 63 and Section 65 licenses, allowing them to act as both a trading employee and an investment consultant, and is licensed in both Indiana and Texas.

Throughout his career, John Duffy has collaborated with prosperous and increasingly fortunate families and individuals to build and manage personalized investment portfolios to match their specific objectives.

John Duffy earned an undergraduate degree in Marketing and Communications from the University of Indianapolis. John Duffy is currently the Chair of the Board of Trustees for Bishops Simon Brute Institute and volunteers with the Archbishop of Indianapolis in an assortment of capacities.

1Who is John Duffy (CRD#: 2402030)?
2About Morgan Stanley Wealth Management:
3John Duffy Disclosures: BrokerCheck, FINRA, And SEC Reports
4John Duffy Lawsuits, Legal Battles, & Disputes
5John Duffy Complaints, Class Action Lawsuits & Legal Battles
6Frequently Asked Questions
7Better Alternatives To John Duffy (By Experts):
2

About Morgan Stanley Wealth Management:

Morgan Stanley Financial Services Organization is a multinational financial services organization that specializes in expenditures, banking, securities, investment management, and wealth management.

It has offices in over 41 countries, and its personnel assists customers from all over the world, including corporations, governments, institutions, and individuals.

Morgan Stanley Wealth Administration, a global leader, offers individuals, businesses, and institutions access to an extensive selection of products and services, including brokerage and investment counsel services, finances and wealth planning, handling money and loans and services, annuity contracts, and health coverage, your future and trust services.

History

Morgan Stanley, Inc. has been dedicated to its customers and local communities for 87 years, beginning as a modest Wall Street partnership and growing to a worldwide firm with over 80,000 employees today.

Sustainability

Morgan Stanley’s commitment to sustainability pervades all aspects of our procedures, oversight, risk management, diversity initiatives, charity, and research.

Technology

Morgan Stanley, as a worldwide financial services organization, is committed to technology innovation. We rely on our global technologists to build cutting-edge, safe environments for all of our businesses.

What is SEC?

The Securities and Exchange Commission (SEC) in the United States is a federal government regulatory agency that works independently. Its main responsibility is to safeguard investors, ensure the securities markets operate in a fair and orderly manner, and facilitate capital formation.

22/12/2023 Update
As of now, John Duffy has not responded, nor has he apologized for his misdeeds. He has ignored our efforts to highlight the problems faced by his victims. Furthermore, he has only focused on propagating his fake PR.
3

John Duffy Disclosures: BrokerCheck, FINRA, And SEC Reports

Consumer complaints and negotiations, regulatory actions, the job ends anywhere bankruptcy filings, and civil or penal legal processes must all be declared by any individual registered to offer financial instruments or provide financial advice. As a result, no public disclosure of activities has occurred concerning John Duffy, by BrokerCheck reports.

Financial Advisors often remove their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any disputes in the past.

FINRA’s BrokerCheck

individual_2402030.pdf (finra.org)

JOHN-DUFFYDownload

SEC Litigations & Forms

Duffy
John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 15

Source: John Duffy – SEC Site Search Search Results

4

John Duffy Lawsuits, Legal Battles, & Disputes

The great majority of court cases filed in the United States of America are saved by CourtListener, UniCourt, Law.com, Justia, Trellis Law, and Law360. If John Duffy has ultimately been involved in a scenario, you can learn more about it by following the links released below.

There might be more pending lawsuits against John Duffy which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against John Duffy on these websites, you can contact the local authorities and check if they have a physical copy of any cases.

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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 16

CourtListener

Lawsuits On CourtListner.com
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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 17

UniCourt

Lawsuits On UniCourt.com
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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 18

Law.com

Lawsuits On Law.com
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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 19

Law360.com

Lawsuits On Law360.com
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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 20

Trellis. law

Lawsuits On Trellis.law
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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 21

Justia

Lawsuits On Justia.com
5

John Duffy Complaints, Class Action Lawsuits & Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against John Duffy using the websites down below:

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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 22

Sonn Law Group

Complaints On SonnLaw.com
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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 23

SEC.gov

Complaints On SEC.gov
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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 24

White Law Group

Complaints On WhiteSecuritiesLaw
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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 25

MDF Law

Complaints On MDF-Law.com
Screenshot 18
John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 26

Israels & Neuman, PLC

Complaints On IsraelsNeuman.com
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John Duffy- Has He Been Involved in Lawsuits and SEC Litigations? 27

Klayman Toskes

Complaints On KlaymanToskes.com

You can contact the law firms mentioned above if facing issues with John Duffy or any financial advisor.

6

Frequently Asked QuestionsFind the answers to your most common questions related to John Duffy & Morgan Stanley Wealth Management

7

Better Alternatives To John Duffy (By Experts):Find the top 3 alternatives to John Duffy

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
You can check out the top 10 financial advisors in the U.S. to learn more.
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