DID JAMES DANIEL ABBOTT CAUSE YOU INVESTMENT LOSSES?
James Abbott Of Vanguard Marketing, Vanguard Advisers And Formerly With AXA Advisors Has 2 Customer Complaints For Alleged Broker Misconduct
Who is James Abbott of Vanguard Marketing?
James Abbott (CRD #5884770) who is currently registered with Vanguard Marketing, Vanguard Advisers and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations. Prior to Vanguard Marketing and Vanguard Advisers, James Abbott was associated with AXA Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
James Abbott Customer Complaints
James Abbott has been the subject of 2 customer complaints that we know about. One of James Abbott’s 2 customer complaints was settled in favor of investors. One of James Abbott’s customers complaints was denied and, to date, the customer has not taken any further action.
Allegations Against James Abbott
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Client alleged James Abbott’s misrepresentation in the sale of variable annuities. Client requested the firm to investigate this matter.
- The client alleged that James Abbott provided him with incorrect information regarding the management of his account which led to a loss.
James Abbott Red Flags & Your Rights As An Investor
Of course, James Abbott did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Abbott at Vanguard Marketing, Vanguard Advisers, and AXA Advisors on alert to review carefully the activity and performance of their accounts and question whether James Abbott has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Vanguard Marketing, Vanguard Advisers, and AXA Advisors also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Vanguard Marketing Due To James Abbott
If you have questions about Vanguard Marketing, Vanguard Advisers, AXA Advisors, and/or James Abbott and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.