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.
Wells Fargo Clearing Services LLC Investor Accused Holmes Of Unsuitable Recommendations
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.
James Holmes Terminated For Discretionary Trading
Evidently, Wells Fargo Clearing Services LLC disaffiliated with Holmes on September 17, 2024. Allegedly, Holmes was discharged for unauthorized trading in client accounts.
Have You Made Investments Through Securities Broker Holmes?
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.
