One or more investors possibly experienced losses because of securities broker James Eugene Holmes III [CRD: 2174697, Winston Salem, North Carolina], based on disclosures found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Holmes worked for Wells Fargo Clearing Services LLC from August 30, 2019, to October 10, 2024, and for Stephens from March 11, 2011, to September 5, 2019. Read on to discover more about the disclosures involving Holmes.
Notably, on April 11, 2025, a Wells Fargo Clearing Services LLC client filed FINRA Arbitration No. 25-00745 about James Holmes. Primarily, the client alleged that Holmes made unsuitable recommendations, given the client’s needs. Because of this, the client allegedly sustained damages. For this reason, the client requested $500,000.00 in compensation from Wells Fargo Clearing Services LLC or Holmes. This arbitration is pending a resolution.
Evidently, Wells Fargo Clearing Services LLC disaffiliated with Holmes on September 17, 2024. Allegedly, Holmes was discharged for unauthorized trading in client accounts.
Are you concerned regarding investments you made with James Holmes? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney about a possible recovery of your investment losses. For years, Soreide Law Group has recovered losses for clients throughout the United States. The firm also works on a contingency fee basis and advances all costs. Holmes and brokerage firms Holmes worked for deny all allegations referenced in public disclosures.
KEVIN CHRISTOPHER MCCARTHY (KEVIN C MCCARTHY) was permanently barred by FINRA from acting as a broker or otherwise associating with a broker/dealer firm with a start date of 5/7/2026. McCarthy was registered as a broker with MADISON AVENUE SECURITIES LLC of Hialeah, Florida, from 12/04/2007 - 01/30/2026. McCarthy was previously registered both as a broker […]
Investors might have sustained losses due to securities broker William H. Grant [CRD: 4219455, Duluth, Georgia], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. William Grant has been registered with Merrill Lynch since October 23, 2009, as both a securities broker and financial advisor. Investors are encouraged to continue reading to find […]
Investors apparently complained about securities broker James Francis Martin [CRD: 1218618, West Conshohocken, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Martin worked for Morgan Stanley from April 4, 2016, to December 2, 2022. See the following information to discover more about disclosures involving Martin and allegations reported on FINRA BrokerCheck. Martin […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com