Investors might have sustained losses due to securities broker James Daniel McDermott [CRD: 2483480, Oakbrook Terrace, Illinois], based on the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, McDermott was registered with Raymond James Associates Inc. from October 16, 2015, to October 27, 2023, before moving to Osaic Wealth Inc. on October 26, 2023. Continue reading to uncover more about McDermott's disclosures.
Osaic Wealth Inc. investor accused McDermott of violations related to Illinois Securities Law. Specifically, on February 1, 2024, an Osaic Wealth Inc. client filed a written complaint about McDermott. Supposedly, McDermott violated Illinois securities law in purchases or sales of securities in their Raymond James accounts. The complaint is currently pending.
McDermott was discharged for borrowing money from clients. Evidently, Wells Fargo Advisors LLC disaffiliated with McDermott on December 19, 2011. Allegedly, McDermott violated an internal policy of Wells Fargo Advisors in that he borrowed money from two persons who were clients of the firm.
Experienced losses because of James McDermott? If so, reach out to Soreide Law Group or at (888) 760-6552 and speak with a securities lawyer about potentially recovering your investment losses. Soreide Law Group has reclaimed losses for investors across the United States, operates on a contingency fee basis, and fronts all costs. McDermott and the brokerage firms he worked for deny any accusations of sales practice violations.
Investors might have sustained losses due to securities broker James Fredrick Tighe [CRD: 3129233, Phoenix, Arizona], and Financial Industry Regulatory Authority barred him, based on public information on BrokerCheck. Tighe was associated with Morgan Stanley from June 1, 2009, through January 14, 2025. Continue reading to find out more about Tighe’s regulatory and client dispute […]
Investors potentially experienced sales practice violations by securities broker Sung Moo Cho (also known as Sam Cho) [CRD: 5015906, New York, New York], and FINRA barred him, given the public information found on FINRA BrokerCheck. Cho was associated with Ameriprise Financial Services from January 22, 2021, to October 21, 2025, and Citigroup Global Markets from […]
Investors potentially incurred losses because of securities broker Raymond Trey Brown [CRD: 6170291, Frisco, Texas], and FINRA sanctioned him, according to disclosures on FINRA BrokerCheck. Brown worked for Northwestern Mutual Investment Services LLC, from March 17, 2014, to December 13, 2024. See below to learn more about Brown’s disclosures. FINRA Sanctioned Raymond Brown For Failure […]
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