Last Updated: July 2025 — Hauppauge, NY
Here’s what you need to know about Hauppauge, NY stockbroker James W. Maurer:
- Name: James W. Maurer
- CRD Number: 4971613
- Current Employer: Network 1 Financial Securities, Inc.
- Function: Stockbroker / Financial Advisor
- Previously Registered With: Laidlaw & Company (UK) Ltd., Rockwell Global Capital LLC, Summit Brokerage Services, GunnAllen Financial, Andrew Garrett Inc., The Concord Equity Group LLC, New Castle Financial Services LLC, Milestone Financial Services Inc., Ehrenkrantz King Nussbaum Inc.
- Other Business Affiliations: James Maurer Capital Partners, Capital Construction Design, Realty Connect USA, RJ Entertainment
- Can James Maurer be sued in FINRA arbitration? Yes
- Sanctioned by Securities Regulators: No
- Pending Customer Dispute Amount: $50,000
If you’ve sustained damages from Mr. Maurer, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With James W. Maurer As Your Stockbroker?
In a pending FINRA arbitration filed in April 2025 (FINRA Case No. 25-00457), a customer of Network 1 Financial Securities Inc. alleges that James W. Maurer engaged in Breach of Fiduciary Duty, Unsuitable Recommendations, and Misappropriation of Funds related to a private placement investment. The claim seeks damages of $50,000.
Investigations involving Theft and Misappropriation of Customer Funds
Private Placements under Reg D: What is a Private Placement? According to the U.S. Securities and Exchange Commission (SEC):
“Under the federal securities laws, a company may not offer or sell securities unless the offering has been registered with the SEC or an exemption from registration is available. Offerings exempt from the SEC’s registration requirements pursuant to Securities Act Section 4(a)(2) or its safe harbor under Regulation D of the Securities Act are often referred to as private placements.”
The SEC warns that unregistered offerings may be utilized to conduct investment scams and that investors should have the ability to weather a total loss in these illiquid investments. See this SEC Investor Alert about red flags to watch out for in unregistered offerings.
Allegations of Broker Misconduct Against James W. Maurer
The pending customer dispute against James W. Maurer includes serious allegations:
- Breach of Fiduciary Duty
- Unsuitable Recommendations: This may violate FINRA Rule 2111, which requires that brokers must have a reasonable basis to believe that a recommended transaction or investment strategy is suitable for the customer based on their profile.
- Misappropriation of FundsThe dispute remains unresolved and is currently pending before FINRA Arbitration.
Recover Your Investment Losses Now With Rex Securities Law
Our Investigations of other Network 1 Brokers
If you have suffered investment losses in an account handled by James W. Maurer, 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.