Investors potentially experienced sales practice violations due to securities broker James John Raia [CRD: 2397301, Ridgewood, New York], according to public information on FINRA BrokerCheck. Evidently, Raia worked for Moloney Securities Co. Inc. from February 1, 2018, to June 4, 2025, and is currently registered with Emerson Equity LLC in Irvine, California, since May 7, 2025. Read on to discover more about the investor dispute disclosures involving Raia.
Particularly, on February 11, 2025, a Moloney Securities Co. Inc. client filed FINRA Arbitration No. 25-00196 about James Raia. The client alleged that Raia made unsuitable recommendations and was negligent from 2019 through 2021. For this reason, the investor allegedly sustained damages associated with corporate bonds. As a result, the client requested $940,000 in compensation from Moloney Securities Co. Inc. or Raia. It appears that this arbitration is pending a resolution.
Evidently, a client of Moloney Securities Co. Inc. disputed James Raia’s sales practices by filing FINRA Arbitration No. 24-00509. Allegedly, Raia was negligent and made unsuitable recommendations. It appears that Raia caused the client to sustain damages linked to corporate bonds. Consequently, Moloney Securities Co. Inc. opted to settle the matter on April 8, 2025, by compensating the client in the amount of $192,500.
Specifically, a Moloney Securities Co. Inc. client filed FINRA Arbitration No. 23-01410 about James Raia. Mainly, the client alleged that Raia made unsuitable recommendations and was negligent concerning sales of corporate bonds. Therefore, on December 5, 2024, Moloney Securities Co. Inc. settled this matter by paying the client $22,378.67 in damages.
Additionally, a client of Moloney Securities Co. Inc. contested James Raia’s sales practices by filing FINRA Arbitration No. 22-02179. Allegedly, Raia was negligent and made unsuitable recommendations. It appears that Raia caused the client to sustain damages relating to corporate bonds. As a result, Moloney Securities Co. Inc. opted to settle the matter on June 1, 2023, by compensating the client in the amount of $10,000.
Did you experience losses because of James Raia? You should contact Soreide Law Group at (888) 760-6552 or online and talk to a securities lawyer concerning a possible recovery of your investment losses. For more than a decade, Soreide Law Group has recovered losses for investors throughout the country. Also, the firm works on a contingency fee arrangement and advances all costs. Raia and brokerage firms Raia worked for deny accusations of sales practice violations.
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