One or more investors apparently complained about securities broker Doran Calvin James [CRD: 1764628, Rock Springs, Wyoming], according to publicly available disclosures on FINRA BrokerCheck. It appears that James worked for LPL Financial LLC from November 11, 2011, to May 8, 2023, and has worked for J.W. Cole Financial Inc. and J.W. Cole Advisors Inc. since June 20, 2023. Below, investors can review details about James’ disclosures and the allegations made by a client regarding his investment recommendations.
Particularly, a client of LPL Financial LLC contested Doran James’s sales practices, according to a complaint dated February 3, 2024. Allegedly, James made unsuitable recommendations. Allegedly, James allegedly caused the client to sustain damages through investments in structured notes. As a result, the client sought compensation from LPL Financial LLC or James in the amount of $124,947.00 in this matter.
Doran James Disclosed Sales Practice Allegations By LPL Financial LLC Client
Also, a client of LPL Financial LLC contested Doran James’s sales practices by filing FINRA Arbitration No. 24-02560 on December 4, 2024. Allegedly, James recommended illiquid structured notes. Therefore, the client seeks compensation from LPL Financial LLC or James in the amount of $154,957.00 in this ongoing matter.
Allegations Of Illiquid Investments Sold To LPL Financial LLC Client
Additionally, a client of LPL Financial LLC contested Doran James’s sales practices by filing FINRA Arbitration No. 24-02349 on October 31, 2024. Allegedly, James recommended illiquid investments, resulting in damages. Consequently, the client seeks compensation from LPL Financial LLC or James in the amount of $219,735.00 in this ongoing matter.
Do you have concerns about investments you made through Doran James? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer about a possible recovery. Soreide Law Group has substantial experience recovering losses for clients located throughout the country. The law firm also takes cases on a contingency fee basis and advances all costs. James and securities firms / investment advisories James worked for deny accusations of sales practice violations.
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