Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker James Vernon Hart (also known as Vern Hart) [CRD#: 1122114, Carmel, Indiana]. Hart works with Raymond James Associates Inc. as of June 16, 2011.
Recent disclosures raise concerns about Hart’s conduct, including allegations of excessive fees and mismanagement of a client’s account.
On June 13, 2024, a client’s guardian filed a pending dispute against Hart while he was employed at Raymond James Associates Inc. The allegations claim that Hart did not manage the client’s account in their best interests and/or charged excessive fees. This matter is currently under review in Howard County, Indiana Circuit Court.
On October 12, 1999, a client of NatCity Investments Inc. filed a complaint against Hart, alleging that he failed to execute a stop-loss order for 1,000 shares of over-the-counter (OTC) stock in February 1999. The client claimed that Hart informed him of the stock’s decline in April 1999 but had not sold the shares as instructed. Hart denied receiving the order. The firm settled the complaint for $5,226.
On December 2, 1996, a client of NatCity Investments Inc. and Raffenperger, Hughes Co. alleged that Hart misrepresented insurance policies purchased in 1992 and 1993. The client claimed that the premiums were insufficient to sustain the policy based on guaranteed rates. The parties settled the dispute out of court for $18,500, with Hart contributing $9,255. The firm’s counsel advised settling to avoid trial expenses.
Ccontact Soreide Law Group online or at (888) 760-6552 to consult with a securities attorney. Soreide Law Group works on a contingency basis and advances all costs. The firm is known for helping investors across the country with recovering losses from sales practice misconduct. Hart and his firms deny any wrongdoing in these disputes.
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