DID L THORNE JAMES CAUSE YOU INVESTMENT LOSSES?
Thorne James of Merrill Lynch Pierce Fenner & Smith Has 2 Customer Complaints For Alleged Broker Misconduct
Who is L James of Merrill Lynch Pierce Fenner & Smith?
Thorne James (CRD #846353) who is currently registered with Merrill Lynch Pierce Fenner & Smith and located in Raleigh, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.
Thorne James Customer Complaint
Thorne James has been the subject of 2 customer complaints that we know about, one of which was filed in the last year to recover investment losses. Two of Thorne James’ 2 customers’ complaints were settled in favor of the investors.
Allegations Against Thorne James
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- The customer alleges unauthorized trading by Thorne James.
- Thorne James allegedly solicited the purchase of a stock. Customer complained that the risk of loss was not fully disclosed.
L James Red Flags & Your Rights As An Investor
Of course, L James 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 L James at Merrill Lynch Pierce Fenner & Smith on alert to review carefully the activity and performance of their accounts and question whether L James has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Merrill Lynch Pierce Fenner & Smith also raises questions about the brokerage firm 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 Merrill Lynch Pierce Fenner & Smith Due To L James
If you have questions about Merrill Lynch Pierce Fenner & Smith and/or L James 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.