Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Raper (Raper), currently associated with Wealthforge Securities, LLC / Wealthforge Distributors, LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Raper 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 $552,535.65 on May 02, 2023.
From investment activity in 2019, claimant alleges the following: \, failure to conduct reasonable due diligence\, negligence\, failure to disclose material facts\, failure to conduct suitability \, Failure to supervise\, misrepresentation and omissions\, breach of contract\, breach of fiduciary duty