David James – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with David James. If you suffered losses investing with David James, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
David James (CRD# 1421651)
Current and Previous Registrations
05/2011 – PRESENT UBS FINANCIAL SERVICES INC. (CRD# 8174) – CENTURY CITY, CA
01/2003 – 05/2011 OPPENHEIMER & CO. INC. (CRD# 249) – LOS ANGELES, CA
05/1997 – 01/2003 CIBC WORLD MARKETS CORP. (CRD# 630) – NEW YORK, NY
07/1994 – 04/1997 OPPENHEIMER & CO., INC. (CRD# 630)
11/1990 – 06/1994 KIDDER, PEABODY & CO. INCORPORATED (CRD# 7613) – NEW YORK, NY
02/1988 – 11/1990 DEAN WITTER REYNOLDS INC. (CRD# 7556)
02/1988 – 11/1990 DEAN WITTER REYNOLDS INC. (CRD# 7556) – PURCHASE, NY
11/1985 – 03/1988 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691)
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with David James and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
