Last Updated: July 2025 (Strongville, OH)
James Robert Ptacek Jr. Investigation Summary
Here’s What You Need to Know About Strongville, OH Stockbroker James Robert Ptacek Jr:
- Name: James Robert Ptacek Jr
- Current Employer: Registered Investment Advisor with Ta-Check Financial. Not currently registered with FINRA.
- Prior Employers:
- LPL Financial LLC (2018–2024)
- SII Investments, Inc. (2007–2018)
- FSC Securities Corporation (1997–2007)
- Function: Stockbroker / Financial Advisor/ Registered Investment Advisor
- Aliases: James Ptacek Jr
- Primary Location: Willoughby Hills, OH
- Other Business Affiliations: TA-Check Financial, Ptacek Real Estate, Sharaba’s Financial Services
- CRD Number: 1959049
- Can James Ptacek Be Sued in FINRA Arbitration: Yes
- Sanctioned by FINRA: No
- Terminated by Prior Employer: Yes- LPL Financial
- Highest Settlement or Award: $125,000
- Pending Customer Dispute Seeks Damages of $100,000
If you’ve sustained damages from Mr. Ptacek, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With James Ptacek Jr as Your Stockbroker?
James Ptacek was discharged from LPL Financial LLC in November 2024 for failing to disclose outside business activities and private securities transactions, raising concerns about compliance with FINRA Rule 3270 (Outside Business Activities of Registered Persons).
A customer dispute involving FSC Securities Corporation resulted in a $125,000 settlement in July 2003. The claimant alleged that Mr. Ptacek failed to transfer an annuity account and neglected to provide adequate advice regarding beneficiary options.
In 6/2025 a customer of LPL FInancial filed a FINRA arbitration alleging that Ptacek made an investment recommendation that was unsuitable for the customer’s investment objectives and risk tolerance. This case is currently pending.
Allegations of Broker Misconduct Against James Ptacek Jr
Customers and employers have alleged the following against James Ptacek Jr:
- Failure to Transfer Annuity Accounts: Allegations of neglect in handling annuity account transfers and failure to advise beneficiaries on their options.
- Undisclosed Outside Business Activities: Terminated by LPL Financial LLC for engaging in unapproved outside business activities and private securities transactions.
See this for our prior investigations of cases involving Annuities
FINRA Rule 2111- suitability -Regulation Best Interest
The Financial Industry Regulatory Authority (FINRA) mandates brokers to disclose customer disputes, regulatory sanctions, and financial improprieties. Such allegations indicate potential violations of ethical and professional standards.
Recover Your Investment Losses Now With Rex Securities Law
Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by James Robert Ptacek Jr, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL, and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors, and broker-dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis, meaning that you do not pay legal fees unless we are successful.