Last Updated: November 2023 (Austin, Texas)
James Etter Investigation Summary
Here’s what you need to know about Austin, Texas, stockbroker James Etter:
- Name: Mr. James C. Etter
- Current Employer: Not currently registered with FINRA
- Previous Firms: Natalliance Securities, Morgan Stanley Smith Barney
- Function: Stock Broker/ Financial Advisor
- Aliases: James Etter
- Primary Location: Austin, Texas
- CRD 5576744
- Can James Etter be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Terminated 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 James Etter As Your Stockbroker?
James Etter began working for Natalliance Securities in 1/2012. In 4/2023 Natalliance Securities discovered that Etter was involved in a ‘private securities transaction’ involving options and a Reg D offering that had not been approved by the firm as required by FINRA Rule 3280. James Etter resigned from the firm.
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 James Etter, 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.
