RedFlags, Allegations and Complaints against DOUGLAS MATTHEW JAMES
Disclosure #1 for DOUGLAS JAMES
- eventDate: 2/16/2016
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: The customer alleged the advisor misrepresented the variable insurance policy purchased in March 2001. No specific compensatory damages were alleged
- Settlement Amount: $28,166.31
- Arbitration Docket Number:
- Broker Comment: CUSTOMER ACCEPTED THE OFFER TO APPLY PREMIUM PAYMENTS LIFED FROM THE VARIABLE LIFE POLICY TO RESTORE THE UNIVERSAL LIFE POLICY.
Should I file a FINRA complaint against brokers like DOUGLAS MATTHEW JAMES?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by DOUGLAS MATTHEW JAMES’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About DOUGLAS MATTHEW JAMES
What is DOUGLAS JAMES’s Central Registration Depository (CRD) Number?
Which firm is DOUGLAS MATTHEW JAMES associated with?
RAYMOND JAMES FINANCIAL SERVICES, INC.
Where is DOUGLAS JAMES located?
65 EAST ALLENDALE ROAD, SADDLE RIVER, NJ, 7458
Where can I find more details about DOUGLAS JAMES’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/6694 to read a detailed report for RAYMOND JAMES FINANCIAL SERVICES, INC.
Are there any disclosures, allegations or complaints filed against DOUGLAS MATTHEW JAMES?
Where can I download a detailed FINRA report for DOUGLAS JAMES?
Is it safe to do business with DOUGLAS MATTHEW JAMES?
We’re not sure. Please research DOUGLAS JAMES’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:39 am
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