Last Updated: January 2024 (Lubbock, Texas)
Darren James Investigation Summary
Here’s what you need to know about Lubbock, Texas, stockbroker Darren James:
- Name: Mr. Darren Allen James
- Current Employer: LPL Financial
- DBA: James & Sons Wealth Management
- Previous Firms: Independent Financial Group, Raymond James & Assoc.
- Function: Stock Broker/ Financial Advisor
- Aliases: Darren James
- Primary Location: Lubbock, TX
- CRD 4719616
- Can Darren James be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by a prior employer: Yes
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Darren James As Your Stockbroker?
IN 2022 Darren James was discharged by Raymond James & Associates for violating investment related statutes, regulations and industry standards of conduct when he placed trades in his personal account in excess of Reg T margin limits. No client involvements.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Darren James, 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.
