Securities Lawyers Blog
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that Broker Doran James (James), currently employed by J.w. Cole Financial, INC. has been subject to at least 3 disclosable events. These events include 3 customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), James’s most recent customer complaint alleges that James recommended unsuitable investments in structured products and makes allegations concerning misconduct relating to the handling of the customer’s accounts.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $154,957.00 on December 04, 2024.
Claimants allege their financial professional could not sell their structured notes prior to maturity which caused themalleged damages. Time period: December 2022 – January 2023