DID JAMES LEE GREENE CAUSE YOU INVESTMENT LOSSES?
James Greene Formerly With B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct
Who is James Greene formerly with B. Riley Wealth Management?
James Greene (CRD #2974053) who was formerly registered with B. Riley Wealth Management and located in Boca Raton, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to B. Riley Wealth Management, James Greene was associated with National Securities Corporation and First Command Financial Planning and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
James Greene Customer Complaints
James Greene has been the subject of 3 customer complaints that we know about to recover investment losses. Two of the customer complaints were settled by James Greene’s former employers in favor of the investors. The other customer complaint remains pending against National Securities Corp.
Allegations Against James Greene
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Unsuitable investment recommendation of a private placement.
- Misrepresentation of cost of variable universal second-to-die life insurance policy.
- Suitability of private placement investment.
James Greene Red Flags & Your Rights As An Investor
Of course, James Greene 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 Greene at B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning on alert to review carefully the activity and performance of their accounts and question whether James Greene has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning 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 B. Riley Wealth Management Due To James Greene
If you have questions about B. Riley Wealth Management, National Securities Corporation and First Command Financial Planning and/or James Greene 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.