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 potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com