DID JAMES PATRICK SHAWVER CAUSE YOU INVESTMENT LOSSES?
James Shawver Of Peak Brokerage Services And Formerly With Independent Financial Group Has 3 Customer Complaints For Alleged Broker Misconduct
Who is James Shawver of Peak Brokerage Services?
James Shawver (CRD #2571148) who is currently registered with Peak Brokerage Services and located in Boynton Beach, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Peak Brokerage Services, James Shawver was associated with Independent Financial Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
James Shawver Customer Complaints
James Shawver has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of James Shawver’s 3 customer complaints was settled in favor of investors. One of James Shawver’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Independent Financial Group for investment losses caused by James Shawver’s alleged misconduct.
Allegations Against James Shawver
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Alleged James Shawver’s investments were not suitable, resulting in losses.
- Customer alleged James Shawver failed to follow instructions.
- The client alleged that James Shawver’s annuities purchased, which have declined in value, were unsuitable.
James Shawver Red Flags & Your Rights As An Investor
Of course, James Shawver 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 Shawver at Peak Brokerage Services and Independent Financial Group on alert to review carefully the activity and performance of their accounts and question whether James Shawver has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Peak Brokerage Services and Independent Financial Group 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 Peak Brokerage Services Due To James Shawver
If you have questions about Peak Brokerage Services, Independent Financial Group, and/or James Shawver 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.