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James Ries Of Oppenheimer & Co. Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is James Ries of Oppenheimer & Co. Inc.?

James Ries (CRD #861845) who is currently registered with Oppenheimer & Co. Inc. and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Oppenheimer & Co. Inc., James Ries was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Ries Customer Complaint

James Ries has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were for failure to supervise. The customer complaint was denied by Oppenheimer & Co., and to date, the customer has not taken any further action.

James Ries Red Flags & Your Rights As An Investor

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

If you have questions about Oppenheimer & Co. Inc. and/or James Ries 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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