Last Updated: November 2023 (Osprey, FL)
James Protigal Investigation Summary
Here’s what you need to know about Osprey, FL, stockbroker James Protigal:
- Name: Mr. James Charles Protigal
- Current Employer: Spire Securities , Spire Wealth Management (RIA)
- DBA: The Advisors Planning Group
- Previous Firms: Investors Capital Corp., Sagepoint Financial, Prime Capital Services
- Function: Stock Broker/ Financial Advisor/ Registered Investment Advisor
- Aliases: James Protigal
- Primary Location: Osprey, FL
- CRD 2187244
- Can James Protigal be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement or Award: $100,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With James Protigal As Your Stockbroker?
James Protigal discloses 7 customer complaints, including:
- A customer of Prime Capital Services was paid $90,000 to resolve allegations that recommendations related to annuities and KBS REIT alternative investment were not suitable.
Allegations of Broker Misconduct Against James Protigal
Customers of James Protigal have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to purchase annuity.
- Unsuitable Investment Recommendation to purchase an alternative investment, KBS REIT
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.
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 Protigal, 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.
