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James Joly Of Cantella & Co., Inc. And Formerly With Cambridge Investment Research, Inc. and Voya Financial Advisors, Inc. Has 5 Customer Complaints For Alleged Broker Misconduct

Who is James Joly of Cantella & Co., Inc.?

James Joly (CRD #2193463) who is currently registered with Cantella & Co., Inc. and located in Malden, Massachusetts, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cantella & Co., Inc., James Joly was associated with Cambridge Investment Research, Inc., Voya Financial Advisors, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Joly Customer Complaints

James Joly has been the subject of 5 customer complaints that we know about to recover investment losses. One customer complaint was settled by LPL financial in favor of the investors. The other for customer complaints were denied by James Joly’s employer, and it appears, to date, that the customers have not taken any further action.

Allegations Against James Joly

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

  • Failure to consult with client’s estate attorney about the transfer of assets to an annuity that resulted in tax implications.
  • Unsuitable investment recommendations.
  • Unauthorized transactions and unsuitable investments.
  • Unsuitable investment recommendations of REITs.
  • Unsuitable investment recommendations of 1031 tenant-in-common, REITs, business development companies and, high-yield funds.

James Joly Red Flags & Your Rights As An Investor

Of course, James Joly 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 Joly at Cantella & Co., Inc., Cambridge Investment Research, Inc. and Voya Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Joly has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cantella & Co., Inc., Cambridge Investment Research, Inc. and Voya Financial 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 Cantella & Co., Inc. Due To James Joly

If you have questions about Cantella & Co., Inc., Cambridge Investment Research, Inc., Voya Financial Advisors, Inc. and/or James Joly 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.

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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.

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