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DID JAMES THOMAS BOOTH CAUSE YOU INVESTMENT LOSSES?
James Thomas Booth Formerly With LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co.Has 30 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years
Who is James Thomas Booth Formerly With LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co.
James Thomas Booth (CRD# 1906145) who was registered with LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co. and located in Norwalk, Connecticutis a subject of one of our many securities industry sales practice abuse investigations. Prior to LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co., James Booth was registered with 3 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co. Broker Misconduct
In his career, James Booth has been the subject of 36 customer complaints that we know about, 30 of those complaints were filed in the last year to recover investment losses. All of James Booth’s recent customer complaints were settled in favor of investors. There is currently 1 pending customer complaints filed against James Booth’s former employer Cadaret, Grant & Co. for investment losses caused by his alleged misconduct.
Allegations Against James Booth
The allegations made in the last 30 FINRA reported arbitration claim settlements and pending complaints for investment losses arise out of an alleged Ponzi scheme. James Booth was indicted and pled guilty to one count of securities fraud. In addition, he has been enjoined and/or permanent barred from acting as a securities broker for his alleged misconduct. According to FINRA, James Booth consented to the permanent bar sanction, without admitting or denying the allegations, for converting at least $1,000,000 of investor funds from multiple customers who gave him funds to invest on their behalf, however, he allegedly deposited the funds into an account he controlled and, used the funds for his personal use.
James Booth Red Flags & Your Rights As An Investor
The allegations made by customers are red flags which should put all current and former customers of James Booth at LPL Financial, Invest Financial Corp. and Cadaret, Grant & Co. on alert to review carefully the activity and performance of their accounts and question whether James Booth has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial, Invest Financial Corp. and Cadaret, Grant & Co. 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 LPL Financial, Invest Financial Corporation and Cadaret, Grant & Co.
If you have questions about a LPL Financial, Invest Financial Corp. and Cadaret, Grant & Co. and/or James Booth 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 or locally at 561-338-0037.
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