DID JAMES PATRICK SHAWVER CAUSE YOU INVESTMENT LOSSES?
James Patrick Shawver of Peak Brokerage Services and Formerly with Independent Financial Group Has 3 Customer Complaints for Alleged Broker Misconduct
Who is James P. 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 13 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
James Shawver Customer Complaints
In his career, James Shawver has been the subject of 3 customer complaints that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the client alleges that annuities purchased which have declined in value, are unsuitable.
One of James Shawver’s 3 customer complaints was settled in favor of investors. One of James Shawver’s customer complaint was denied and the customers did not take any further action. There is currently one pending customer complaint filed against James Shawver’s former employer Independent Financial Group for investment losses caused by his alleged misconduct.
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 that 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.
A large number of customer complaints at Peak Brokerage Services and Independent Financial Group also raises questions about 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
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.