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James Lyons Formerly With Raymond James & Associates, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct

Who is James Lyons formerly with Raymond James & Associates, Inc.?

James Lyons (CRD #1020397) who was formerly registered with Raymond James & Associates, Inc. and located in Shreveport, Louisiana, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James & Associates, Inc., James Lyons was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Lyons has had his own share of regulatory problems. In 2018, he refused to cooperate with a FINRA investigation and was permanently barred from any further association with any FINRA member firm.

James Lyons Customer Complaints

James Lyons has been the subject of 9 customer complaints that we know about to recover investment losses. One customer complaint resulted in an arbitration award in the amount of over $2.9 million. Five customer complaints were settled in favor of the investors. The other 3 customer complaints were denied by James Lyons employers, and today, it appears the customers took no further action.

Allegations Against James Lyons

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

  • Unauthorized trading.
  • Selling Away.
  • Misrepresentation.
  • Violations of FINRA rules, breach or of federal and state securities laws, fraudulent and/or negligent representations, fraudulent concealment, unauthorized trading, overconcentration and suitability.
  • Unauthorized trading and unsuitable investment recommendations.
  • Violations of FINRA rules, unauthorized trading, suitability, overconcentration, mismarking of trades, self-dealing, failure to disclose risks, fraudulent representations, and concealment.
  • Unsuitable investment recommendations to over concentrate an account.
  • Suitability and unauthorized trading.

James Lyons Red Flags & Your Rights As An Investor

Of course, James Lyons 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 Lyons at Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Lyons has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James & Associates, Inc. also raises questions about the brokerage firm’s 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 Raymond James & Associates, Inc. Due To James Lyons

If you have questions about Raymond James & Associates, Inc. and/or James Lyons 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 $160 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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