Investors have reportedly disputed the sales practices of securities broker James George Witkowski [CRD: 4221931, Liberty, Missouri], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Witkowski has worked for Cetera Advisors LLC since December 10, 2009, and later became registered with Cetera Investment Advisers LLC on March 21, 2024, after previously remaining with Cetera Advisors LLC from December 11, 2009, through March 21, 2024. Investors should review the information below to find out more about disclosures associated with Witkowski’s professional record.
Particularly, on November 13, 2025, a Cetera Advisors LLC client filed FINRA Arbitration No. 25-02499 concerning James Witkowski. Primarily, the client alleged that Witkowski made misrepresentations, overconcentrated accounts, made unsuitable recommendations, and breached his fiduciary duty. Because of these alleged actions, the client reportedly sustained damages related to real estate securities. Consequently, the client requested $100,000 in compensation from Cetera Advisors LLC or Witkowski. It appears that this arbitration awaits a resolution.
Additionally, a client of Edward Jones contested James Witkowski’s sales practices, according to a complaint dated May 25, 2010. Allegedly, Witkowski made omissions by failing to inform the client of potential volatility and losses. It appears that Witkowski allegedly caused the client to sustain damages associated with mutual funds. Therefore, the client sought compensation from Edward Jones or Witkowski in the amount of $5,820.31 in this matter.
Notably, on October 30, 2009, Edward Jones disaffiliated with Witkowski. Evidently, Edward Jones alleged that Witkowski engaged in unauthorized account activities and failed to report a client complaint to the firm.
Are you concerned about investments you made through James Witkowski? If so, reach out to Soreide Law Group online or at (888) 760-6552 and speak with a securities lawyer concerning a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients located throughout the United States. Also, the firm works on a contingency fee basis and advances all costs. Witkowski and brokerage firms Witkowski worked for deny accusations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Nicholas Thomas Stafford IV (also known as Nicholas Lance and Lance Stafford) [CRD: 2900449, Atlanta, Georgia], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Stafford worked for Bridge Capital Associates Inc. from January 10, 2020, to March 3, 2022, Emerson Equity […]
Investors might have sustained losses due to securities broker Jason Robert Griffin [CRD: 2725523, Newport Beach, California], according to public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Griffin worked for Merrill Lynch in Newport Beach, California, and Monterey, California, since July 11, 2019. See below to discover more about disclosures involving Griffin. Merrill Lynch […]
Investors potentially incurred losses because of securities broker Frederick V. Sellers (also known as Fred Sellers) [CRD: 2855868, Columbia, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Sellers worked for Edward Jones in Columbia, South Carolina, as a securities broker since March 26, 1997, and as a financial advisor since February […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com