James Davis

Broker James Davis in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

October 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $294,496.00 on August 06, 2025.

Customers allege that in or around March 2021, the Representative did not have the customers’ best interest in mind when he recommended unsuitiable variable universal life insurance policies and that the Representative misrepresented the policies as investments.

Broker James Davis in Ifp Securities, LLC Firm Has Customer Complaint

October 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davis (Davis), currently associated with Ifp Securities, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on October 25, 2022.

Customer filed a FINRA arbitration claim received by the firm on Oct 25, 2022. The claim alleges breaches of state law, fiduciary duty, contract law and a general failure to disclose risk parameters surrounding an investment in a GWG “L Bonds”. The subject investment at issue has filed for Federal Bankruptcy protection under Chapter 11 (re-organization). Internal investigation of facts surrounding allegations was completed on approximately Dec 12th 2022, noting that the term of the bond(s) in question and associated risks were appropriately reflected in person and via documentation provided to the client. Customer requests recission of investment(s) (100K) and compensatory damages. Ascertainment of alleged actual damages is impossible until Chapter 11 proceedings are completed.

There are Recent Customer Complaints with Broker James Davis in Firm Northwestern Mutual Investment Services, LLC

August 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on June 11, 2025.

Customer alleges that, in or around November 2020, the representative positioned a variable universal life insurance policy as a tax-free alternative to an investment account and did not adequately explain when the policy would be issued or the premiums associated with insurance.

Broker James Davis in Northwestern Mutual Investment Services, LLC Firm Has Customer Complaint

May 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $33,840.00 on March 06, 2025.

Customers allege that in or around April 2023, in the course of their purchasing two variable universal life insurance policies from the Representative and another representative, misrepresentations were made regarding the costs associated with the policies.

There are Recent Customer Complaints with Broker James Davis in Firm Northwestern Mutual Investment Services, LLC

February 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Davis (Davis), previously associated with Northwestern Mutual Investment Services, LLC, has at least 4 disclosable events. These events include 4 customer complaints, alleging that Davis recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $25,949.00 on November 22, 2024.

Customer alleged that in or around december 2022, the representative misrepresented a variable life insurance policy as an investment and customer alleged that they did not need life insurance. Customer requested a refund of premiums paid.