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.
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.
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.
FINRA’s BrokerCheck
individual_2402030.pdf (finra.org)
SEC Litigations & Forms
Source: John Duffy – SEC Site Search Search Results
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.
CourtListener
UniCourt
Law.com
Law360.com
Trellis. law
Justia
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:
Sonn Law Group
SEC.gov
White Law Group
MDF Law
Israels & Neuman, PLC
Klayman Toskes
You can contact the law firms mentioned above if facing issues with John Duffy or any financial advisor.
