JAMES L HOWELL JR at EQUITABLE ADVISORS, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)



CRD# 1888049

Disclosure #1 for JAMES HOWELL JR

    • eventDate: 5/31/2019
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Denied
    • Disclosure Detail :: Allegations: The client’s POA alleged that the 1035 exchange to a new annuity in April of 2013 was not suitable due to the client’s age and liquidity needs.
    • Damage Amount Requested: $6,823.31
    • Arbitration Docket Number:
    • Broker Comment: The client signed the application and 1035 exchange paperwork, and acknowledged receipt of all required disclosures. At the point of purchase a Registered Principal spoke to the client and documented that she understood the product and its features and appeared to have appropriate liquidity outside of the annuity.

Should I file a FINRA complaint against brokers like JAMES L HOWELL JR?

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 JAMES L HOWELL JR’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!

BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About JAMES L HOWELL JR

What is JAMES HOWELL JR’s Central Registration Depository (CRD) Number?

Which firm is JAMES L HOWELL JR associated with?


Where is JAMES HOWELL JR located?


Where can I find more details about JAMES HOWELL JR’s Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/6627 to read a detailed report for EQUITABLE ADVISORS, LLC

Are there any disclosures, allegations or complaints filed against JAMES L HOWELL JR?

Yes. There are disclosures, allegations, or complaints filed against JAMES L HOWELL JR. Click here to view all details

Where can I download a detailed FINRA report for JAMES HOWELL JR?

Click here to download a detailed FINRA report for JAMES HOWELL JR

Is it safe to do business with JAMES L HOWELL JR?

We’re not sure. Please research JAMES HOWELL JR’s disclosures, allegations and complaints before taking a decision

The views and opinions expressed in these articles are those of the source BrokerAudit.com and do not necessarily reflect the official position of ‘Skeptic Files’, which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.

This article is syndicated automatically through a third-party agency from BrokerAudit.com.

To view the original article at BrokerAudit.com, you can visit https://www.brokeraudit.com/james-l-howell-jr-equitable-advisors-llc/.




We will be happy to hear your thoughts

Leave a reply

The Skeptic Files
Register New Account