RedFlags, Allegations and Complaints against JAMES LEE ADAMS
Disclosure #1 for JAMES ADAMS
-
- eventDate: 9/27/2001
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CUSTOMER ALLEGES THAT FUNDS WERE NOT MOVED INTO FIXED INTEREST BEARING INVESTMENTS PER HER ALLEGED REQUEST ON 8/20/01. SUCH ALLEGATIONS ARE DENIED. CUSTOMER DID NOT MAKE A SPECIFIC OR FIRM ORDER DIRECTING THE REALLOCATION OF HER EXISTING MUTUAL FUND & VARIABLE ANNUITY HOLDINGS TO THE MONEY MARKET UNTIL AFTER THE MARKET CLOSE ON 9/10/01. CUSTOMER’S REQUESTS WERE ENTERED INTO THE SYSTEM ON THAT DATE FOR EXECUTION UPON THE MARKET OPENING ON 9/11/01. DUE TO THE MARKET BEING CLOSED AS A RESULT OF FACTORS OUT OF EVERYONE’S CONTROL, THE CUSTOMER’S REQUEST WERE NOT EXECUTED BY THE TRADING DEPT. UNTIL 9/17/01. LOSSES, IF ANY, ARE DUE TO MARKET FORCES OUT OF MY CONTROL.
- Damage Amount Requested: $10,000.00
- Settlement Amount: $8,226.85
- Arbitration Docket Number:
- Broker Comment: PLEASE SEE #5
Should I file a FINRA complaint against brokers like JAMES LEE ADAMS?
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 LEE ADAMS’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 JAMES LEE ADAMS
What is JAMES ADAMS’s Central Registration Depository (CRD) Number?
Which firm is JAMES LEE ADAMS associated with?
CADARET, GRANT & CO., INC.
Where is JAMES ADAMS located?
8484 ALLENTOWN PIKE, BLANDON, PA, 19510
Where can I find more details about JAMES ADAMS’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/10641 to read a detailed report for CADARET, GRANT & CO., INC.
Are there any disclosures, allegations or complaints filed against JAMES LEE ADAMS?
Where can I download a detailed FINRA report for JAMES ADAMS?
Is it safe to do business with JAMES LEE ADAMS?
We’re not sure. Please research JAMES ADAMS’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-lee-adams-cadaret-grant-co-inc/.
