James Warring Investigation
June 2023 – Rockville, Maryland
According to publicly available records James Dale Warring, a broker currently registered with Emerson Equity, discloses $4.5M pending customer dispute.
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.
In 3/2023, Montgomery County Circuit Court case #CI5CV23001018, filed in Montgomery County, Maryland a customer of EagleStone Wealth Advisors alleges that Warring, acting by and through his investment advisory firm, trust company and accounting business, engaged in conduct (or aided or abetted conduct)constituting fraud, constructive fraud, breach of fiduciary duty, violations of Maryland SAFE Act, and violations of the Maryland Securities Act. The conduct is alleged to have occurred between 2010 and 2022. The alleged damages are $4.5 million in this currently pending matter.
Warring has been employed by Emerson Equity since 6/2023. Prior to that he was registered with DAI Securities from 11/2020 until 5/2023 when he was discharged for failing to report a customer complaint. He is founder and CEO of Eaglestone Wealth Advisors. a registered investment advisory firm.
If you have losses in an account that was handled by James Warring, contact us for a no charge consultation to learn how you may be entitled to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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