DID JAMES JOSEPH ZEGERS CAUSE YOU INVESTMENT LOSSES?
James Joseph Zegers Formerly with LPL Financial and Voya Financial Advisors Has 2 Customer Complaints for Alleged Broker Misconduct
Who is James J. Zegers formerly with LPL Financial?
James Zegers (CRD #2559008) who was formerly registered with LPL Financial and located in Albany, New York is a subject of one of our many securities industry sales practice abuse investigations.
Prior to LPL Financial, James Zegerswas associated with Voya Financial Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
James Zegers Customer Complaints
In his career, James Zegers has been the subject of 2 customer complaints that we know about. The allegations made in the FINRA reported customer complaints for investment losses included allegations of failure to properly diversify portfolio, failure to supervise, breach of contract, and negligence.
One of James Zegers’ 2 customer complaints was settled in favor of investors. One of James Zegers’ customers’ complaints was denied and the customers did not take any further action.
Allegations Against James Zegers
A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:
- The client alleged that James Zegers advised him that the investment offered a guaranteed return of 8% per year.
- The claimant alleges failure to properly diversify portfolio, failure to supervise, breach of contract, and negligence based on purchase of Northstar REIT.
James Zegers Red Flags & Your Rights as an Investor
Of course, James Zegers 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 Zegers at LPL Financial and Voya Financial Advisors on alert to review carefully the activity and performance of their accounts and question whether James Zegers has engaged in any stockbroker misconduct that may have caused them investment losses.
A large number of customer complaints at LPL Financial and Voya Financial Advisors 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
If you have questions about LPL Financial, Voya Financial Advisors, and/or James Zegers 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.