| Read Time: 2 minutes | Cetera Advisors Complaints | News & Articles |


James Franklin Of Cetera Advisor Networks LLC And Formerly With 1st Global Advisors Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is James Franklin Of Cetera Advisor Networks LLC?

James Franklin (CRD #4799613) who is currently registered with Cetera Advisor Networks LLC and located in Houston, Texas, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Cetera Advisor Networks LLC, James Franklin was associated with1st Global Advisors Inc, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Franklin Customer Complaints

James Franklin has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by Investor’s Capital Corporation in favor of the investor. The same brokerage firm denied another customer complaint and it appears that the customer has not taken any further action.

Allegations Against James Franklin

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Misrepresentation of liquidity timeframe associated with the investments.
  • Unsuitable investment recommendations of REITs.

James Franklin Red Flags & Your Rights As An Investor

Of course, James Franklin 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 Franklin at Cetera Advisor Networks LLC and 1st Global Advisors Inc. on alert to review carefully the activity and performance of their accounts and question whether James Franklin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC and 1st Global Advisors Inc. 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 Cetera Advisor Networks LLC Due To James Franklin

If you have questions about Cetera Advisor Networks LLC, 1st Global Advisors Inc. and/or James Franklin 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.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars