Investors potentially experienced sales practice violations because of securities broker James Kellett Darlington II (also known as James Kellett Darlington, Jim Darlington II, Jimm Darlington II, Jimmy Darlington II) [CRD: 2004439, Knoxville, Tennessee], based on disclosures through FINRA’s BrokerCheck. Evidently, Darlington worked for UBS Financial Services Inc. from January 4, 2008, to September 21, 2021. Keep reading to find out more about the disclosures involving this broker and the investment products at issue.
Particularly, on August 27, 2024, a UBS Financial Services Inc. client filed FINRA Arbitration No. 24-01773 about James Darlington. The client alleged that Darlington and/or UBS failed to perform due diligence on a fund of funds, which was allegedly unsuitable. As a result, the client claimed that all material risks were not properly disclosed. Because of this, the client allegedly sustained damages on alternative investments. Therefore, the client requested $50,000.00 in compensation from UBS Financial Services Inc. or Darlington. Evidently, this arbitration is pending a resolution.
Specifically, a client of Morgan Keegan Company Inc. contested James Darlington’s sales practices, according to a complaint dated February 4, 2008. Allegedly, Darlington made unsuitable recommendations involving mutual funds and misrepresented commission costs tied to a fee-based account. It appears that Darlington allegedly caused the client to sustain damages on real estate investment trusts (REITs). Therefore, the client sought damages from Morgan Keegan Company Inc. or Darlington in the amount of more than $5,000 in this matter. This complaint was closed with no action as of November 26, 2008.
When securities brokers fail to conduct proper due diligence before recommending alternative investments, they might not adequately investigate the product's risks, structure, or suitability. This can leave investors exposed to unexpected losses, especially with complex, high-risk products.
Did you experience losses because of James Darlington? Feel free to get in touch with Soreide Law Group online or at (888) 760-6552 to speak with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has helped recovered losses for investors throughout the United States, takes cases on a contingency fee basis, and advances all costs. Darlington and any securities broker dealers / investment advisories Darlington worked for deny accusations of sales practice violations.
FRANCISCO M GOMEZ (FRANCISCO MANUEL GOMEZ, FRANK GOMEZ) has been suspended by FINRA from acting as a broker with a start date of 4/6/2026. The “Regulatory” disclosure was dated 3/13/2026. The allegations against Gomez were, “Respondent Gomez failed to respond to FINRA requests for information.” The duration of the suspension was listed as, “Continues until […]
Investors apparently complained about securities broker Gianpaolo Bicego (also known as Paolo Bicego) [CRD: 5211610, Beverly Hills, California], based on publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Gianpaolo Bicego worked for J.P. Morgan Securities LLC from February 17, 2010, through October 25, 2023, and has been registered with Wells Fargo Clearing […]
Investors may have suffered financial harm by securities broker Daniel Malcolm Makin [CRD: 4367894, Westerly, Rhode Island], given the disclosures on FINRA BrokerCheck. Makin worked for Raymond James Financial Services Inc. from March 21, 2001, to September 30, 2025. Investors should read below to review the disclosures reported on his record. Raymond James Investor Accused […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com