Last Updated: April 2025 | Nashville, TN
James Landers Investigation Summary
Here’s what you need to know about Nashville, TN, financial advisor Jim Landers:
- Name: James Daniel Landers
- CRD Number: 4545380
- Function: Stockbroker / Financial Advisor
- Primary Location: Nashville, TN
- Current Employers:
- Raymond James Financial Services, Inc. (CRD# 6694)
- Raymond James Financial Services Advisors, Inc. (CRD# 149018)
- Past Employers: Morgan Stanley, UBS Financial Services, Cetera Investment Services, Fidelity Brokerage Services
- DBA: Pinnacle Asset Management, Pinnacle Financial Partners, Royalty Wealth Group
- Alias: Jim Landers
- Can James Landers be sued in FINRA arbitration? Yes
- Sanctioned by FINRA: No
- Highest Award or Settlement: $33,984
If you’ve sustained damages from Mr. Landers, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With James Landers As Your Stockbroker?
A customer complaint filed on August 21, 2024, against James Landers was settled for $33,984. The complaint arose from trading activity that occurred between August 9–21, 2024, while Landers was affiliated with Raymond James Financial Services, Inc.
Key Case Details:
- Allegation: Trades were placed without customer authorization
- Product Involved: Listed Equity Securities (Common & Preferred Stock)
- Status: Settled on October 14, 2024
Allegations of Broker Misconduct Against James Landers
The following misconduct has been disclosed in connection with James Landers’ handling of client accounts:
- Unauthorized Trading
Landers was accused of placing trades without obtaining explicit written authorization, which constitutes a violation of FINRA Rule 2010 (governing just and equitable principles of trade) and potentially FINRA Rule 3260, which prohibits discretionary trading without written consent from the client and firm approval.
Other Cases Involving Unauthorized Trading
Discretionary vs. Non-Discretionary Accounts
Recover Your Investment Losses Now With Rex Securities Law
Other Investigations of Raymond James Advisors
If you have suffered investment losses in an account handled by James Daniel Landers, 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.