Articles Tagged with James Allen

shutterstock_120556300-300x300According to BrokerCheck records financial advisor James Allen (Allen), now associated with David A. Noyes & Company (David Noyes), has been subject to seven customer complaints and one employment termination for cause.  According to records kept by The Financial Industry Regulatory Authority (FINRA) Allen has been accused by customers of unsuitable investment advice, breach of fiduciary duty, fraud, and negligence among other claims.  The most recent complaint filed in April 2017.

In addition, Citigroup Global Markets Inc. (Citigroup) allowed Allen to resign in April 2017 after the firm made allegations that Allen was investigated for violations of the firm’s policies on communications with clients, and three inaccurate client profiles.

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