Investors potentially experienced losses because of securities broker James Taylor Davis [CRD: 6646090, Lexington, Kentucky], according to disclosures on FINRA BrokerCheck. It appears that Davis worked for Northwestern Mutual Investment Services LLC from December 13, 2017, to June 21, 2024. Keep reading to learn more about the client disputes regarding Davis.
Specifically, a client filed a complaint about James Davis. The client alleged that Davis made misrepresentations. The allegations were made in or around April 2023, during the client’s purchase of two variable universal life insurance policies from Davis and another representative. Because of this, the client allegedly sustained damages on life insurance products. Therefore, on March 6, 2025, Northwestern Mutual Investment Services LLC settled this matter by paying the client $33,840 in damages.
Also, a client of Northwestern Mutual Investment Services LLC contested James Davis’s sales practices, according to a complaint. Allegedly, Davis made misrepresentations. Supposedly Davis caused the client to sustain damages on life insurance products. Therefore, Northwestern Mutual Investment Services LLC opted to settle the matter on November 22, 2024, by compensating the client in the amount of $25,949.
Evidently, a client filed a complaint about James Davis. The client alleged that Davis made unsuitable recommendations and made misrepresentations about life insurance products. As a result, on December 6, 2024, Northwestern Mutual Investment Services LLC settled this matter by paying the client $35,008 in damages.
Specifically, a client of Northwestern Mutual Investment Services LLC contested James Davis’s sales practices, according to a complaint. Allegedly, Davis made misrepresentations and did not sufficiently explain applicable policy fees and the cost of insurance. Supposedly Davis caused the client to sustain damages. Consequently, Northwestern Mutual Investment Services LLC opted to settle the matter on August 16, 2024, by compensating the client in the amount of $81,000.
Also, on February 13, 2024, a Northwestern Mutual Investment Services LLC client filed a complaint about James Davis. The client alleged that Davis made misrepresentations and made unsuitable recommendations in connection with the sale of life insurance products. Because of this, the client allegedly sustained damages. Therefore, the client requested $24,266.86 in compensation from Northwestern Mutual Investment Services LLC or Davis. The securities firm denied this complaint.
Specifically, a client of Northwestern Mutual Investment Services LLC contested James Davis’s sales practices, according to a complaint. Allegedly, Davis made misrepresentations and unsuitable recommendations. Supposedly Davis caused the client to sustain damages. As a result, Northwestern Mutual Investment Services LLC opted to settle the matter on May 10, 2021, by compensating the client in the amount of $25,000.
Seeking more information about James Davis? If so, reach out to Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney. Soreide Law Group has recovered losses for investors throughout the country, works on a contingency fee basis, and advances all costs. Davis and brokerage firms Davis worked for deny any allegations of sales practice violations.
Investors have reportedly disputed the sales practices of securities broker Christopher William Duffy [CRD: 2515612, Red Bank, New Jersey], according to publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Duffy worked for Morgan Stanley as a securities broker beginning June 1, 2009, and as a financial advisor with the firm starting March 3, […]
FINRA barred securities broker Christopher James Christensen [CRD: 7680869, Issaquah, Washington], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Christopher Christensen worked for Airlink Markets LLC from October 18, 2023, to March 20, 2024. Investors are encouraged to review this article to learn more about Christopher Christensen’s regulatory history and disclosures. FINRA Sanctioned […]
Investors potentially experienced sales practice violations by securities broker Ann Louise Werts (also known as Ann Louise Gilmore, Ann Louise Howard, and Ann Louise Vanderslice) [CRD: 5057784, Denver, Colorado], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Werts worked for Cabot Lodge Securities LLC from July 12, 2013, to April 13, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com