Investors may have incurred losses because of securities broker William Stephen Jones (also known as Steve Jones) [CRD: 867147, Anderson, South Carolina], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Jones has worked for Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. since January 2, 2018. Keep reading to find out more the client disputes and settlements involving this securities broker.
Evidently, an LPL Financial LLC client filed FINRA Arbitration No. 24-01452 about Stephen Jones. Allegedly, Jones made REIT recommendations that did not align with the clients' risk tolerance and objectives. Because of this, the client allegedly sustained damages on real estate securities. Therefore, on May 6, 2025, LPL Financial settled this matter by paying the client $80,000.00 in damages.
Additionally, a client of Royal Alliance Associates contested Stephen Jones’s sales practices, according to a complaint dated June 29, 2005. Allegedly, Jones made unsuitable recommendations involving the allocation of an inherited account. Supposedly, Jones caused the client to sustain damages on variable annuities. Consequently, the client sought compensation from Royal Alliance Associates or Jones in the amount of $5,000.00 in this matter. However, the firm denied this complaint.
Are you concerned regarding investments you made with Stephen Jones? Reach out to Soreide Law Group online or at (888) 760-6552 and speak to a securities attorney about a potential recovery of your losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Jones and the firms Jones worked for deny allegations of sales practice violations.
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 […]
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