Last Updated: October 2025 — Oak Brook, IL
Here’s what you need to know about Oak Brook, IL stockbroker James Robert Viktora:
- Name: James Robert Viktora
- Current Employer: Not currently registered with a FINRA-member broker-dealer
- Prior Firms:
- Merrill Lynch, Pierce, Fenner & Smith — Orland Park, IL (05/2016–03/2023)
- Scottrade, Inc. — Wilmette, IL (04/2016–04/2016)
- Keeley Investment Corp. — Chicago, IL (01/2015–11/2015)
- BMO Harris Financial Advisors, Inc. — Chicago, IL (11/2010–12/2014)
- LaSalle St Securities, L.L.C. — Lisle, IL (01/2010–09/2010)
- Waterstone Financial Group, Inc. — Boston, MA (08/2009–09/2009)
- Other Business Affiliations: Employed with Paychex as a business consultant.
- CRD number: 5284023.
- Stockbroker / Financial Advisor: Former FINRA-registered broker; exams passed include SIE (10/01/2018), Series 7 (03/11/2010), Series 6 (08/25/2009), Series 66 (10/05/2016), Series 63 (03/25/2010).
- Can Broker be Sued in FINRA: Yes
- Discharged by a Prior Employer: Yes
- Current Customer Dispute Seeks Total Damages of: Amount not yet specified
If you’ve sustained damages from Mr. Viktora, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With James Robert Viktora As Your Stockbroker?
A pending civil action filed in April 2023 in the Circuit Court of Cook County (Case No. 2023CH03485) alleges failure to follow instructions and an unauthorized transfer of a cash management account in November 2022 while Viktora was associated with Merrill Lynch. The filing lists damages as not yet specified.
Merrill Lynch discharged Viktora on 02/09/2023 for “entering into a financial arrangement with a client,” resulting in a loss of trust and confidence.
Allegations of Broker Misconduct Against James Robert Viktora
Failure to Follow Instructions — Executing transactions or transfers without prior written customer authorization or proper firm approval may violate FINRA Rule 3260 (Discretionary Accounts)and Rule 2010.
Recover Your Investment Losses Now With Rex Securities Law
See this for our prior investigations of Merrill Lynch brokers.
If you have suffered investment losses in an account handled by James Robert Viktora, 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.