Last Updated: September 2023 (Albany, NY)
James Zegers Investigation Summary
Here’s what you need to know about Albany, NY, stockbroker James Zegers:
- Name: Mr. James Joseph Zegers
- Current Employer: Not currently registered with FINRA
- Previous Firms: LPL Financial, Voya Financial Advisors, Waddell & Reed, dba Capita Financial Planning
- Function: Stock Broker/ Financial Advisor
- Aliases: James J. Zegers
- Primary Location: Albany, NY
- CRD 2559008
- Can James J. Zegers be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement :$34,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With James Zegers As Your Stockbroker?
In 2019 a customer of Voya Financial Advisors was paid $34 to settle a FINRA arbitration alleging that James J. Zegers failed to diversify portfolio based on recommendation to purchase Northstar REIT in January of 2013.
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. For more investigations involving Alternative Investments, see this.
Allegations of Broker Misconduct Against James Zegers
Customers of James J. Zegers have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations to invest in alternative investment (Northstar REIT)
- Failure to diversify portfolio
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 J. Zegers, contact us for a complimentary consultation with an experience 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.
