Last Updated: December 2023 (Boca Raton, FL)
James Williams Investigation Summary
Here’s what you need to know about Boca Raton, FL, stockbroker James Williams:
- Name: Mr. James Earl Williams
- Current Employer: Newbridge Securities
- Previous Firms: Janney Montgomery Scott, A.G. Edwards
- Function: Stock Broker/ Financial Advisor
- Aliases: James Williams
- Primary Location: Boca Raton, FL
- CRD 1631008
- Can James Williams be sued in FINRA arbitration: Yes
- Sanctioned by Florida securities regulators: Yes
- Highest Settlement or Award: $850,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With James Williams As Your Stockbroker?
In 2011 James Williams was sanctioned by FINRA for making a material false statement on his application for registration with the Florida Office of Financial Regulation.
James Williams discloses settlement of 5 customer disputes with customers including:
- 2023-$140,000 to customer who alleged breach of fiduciary duty and violations of Florida Investor Protection Act. Alternative investments.
- 2010-$45,500 to customer who alleged unsuitable recommendation to purchase mutual funds and failed to adhere to claimant’s investment objectives.
- 2010- $850,000 paid to customer alleging that James Williams engaged in speculative, unauthorized, excessive and unsuitable trading for two years.
- 2008- $40,000 paid to customer alleging that Williams purchased blocks of stock without authorization from client.
Allegations of Broker Misconduct Against James Williams
Customers of James Williams have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Unauthorized trading
- Violations of the Florida Securities and Investor Protection Act FS 517
- What is Excessive Trading (Churning)?
- Discretionary vs. Non-Discretionary Accounts
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 Williams, 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.
