Last Updated: June 2025 – Rock Springs, WY
Here’s what you need to know about Rock Springs, WY, stockbroker Doran C. James:
- Name: Mr. Doran Calvin James
- Current Employers: J.W. Cole Advisors, Inc. and J.W. Cole Financial, Inc.
- DBA: Wyoming Wealth Management , LLC
- Prior Employers: LPL Financial LLC, Morgan Stanley, Citigroup Global Markets, Lehman Brothers, E.F. Hutton
- Function: Stockbroker / Financial Advisor
- CRD Number: 1764628
- Primary Location: Rock Springs, WY
- Can Doran James be Sued in FINRA Arbitration: Yes
- Three Pending Customer Disputes Seek Damages Totaling Over $500,000
If you’ve sustained damages from Mr. James, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Doran James As Your Stockbroker?
Three customer disputes have recently been filed against Doran C. James by customers of his former employer, LPL Financial, all related to the inability to liquidate structured notes prior to maturity, resulting in alleged financial losses. Relative time period is December 2022-January 2023. Damages of $154,957, $219,735 and $124,947 are sought in these pending cases.
Structured Products: Sometimes referred to as market-linked investments, Structured Products are pre-packaged investments whose performance is linked to an underlying asset, product or index. ( a single security, basket of securities, options, indicies, commodities, debt issuance, foreign currencies or derivatives). See this for FINRA’s Investor Insights “Understanding Structured Notes with Principal Protection”
Allegations of Broker Misconduct Against Doran C. James
Customers of Doran James have brought forward the following allegations:
- Failure to Disclose Liquidity Risk
- Unsuitable Investment Recommendations
The Financial Industry Regulatory Authority (FINRA) mandates that brokers disclose all customer disputes, regulatory actions, and material financial matters such as bankruptcies and judgments. FINRA Rule 4530 requires such disclosures promptly and accurately.
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
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 Doran C. 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.