A Look at James McAuthor's BrokerCheck
Broker James McAuthor (CRD# 2797856) is not currently registered and was most recently registered at IBN Financial Services Inc., in Massapequa, New York. McAuthor has 17 customer disputes and one termination reported on his BrokerCheck.
For example, one customer dispute alleges: breach of fiduciary duty of failing to act in the investor's interests, to deal fairly and honestly with the investor, to observe fair business practices and principles of trade as embodied in the standards of the securities industry and the rules of FINRA and Respondents' own internal policies, to make only suitable investment recommendations to the investor and not to knowingly or negligently make material misrepresentations and omissions to the investor; failure to supervise by neglecting its duty to properly supervise and control its agents pursuant, but not limited, to Section 20(a) of the 1934 Securities and Exchange Act, FINRA Conduct Rules 2010, 3110, and 3270.01; negligence and gross negligence; misrepresentations and omissions; violation of FINRA Rules; and violation of state and federal securities laws. The dispute alleges damages of $1,100,000.00.
The employment termination from IBN Financial Services Inc., alleged unlawful offering and selling securities.
We are a Chicago-based law firm with a national practice, representing investors nationwide in seeking to recover their investment losses. The firm continues to investigate brokerage firms and brokers who have placed elderly investors, retirees and other conservative investors in unsuitable investments.
We receive the highest rankings as attorneys for quality work and ethics. We successfully have filed numerous cases against brokerage firms that sold high-risk investments, recovering more than $50 million on behalf of victimized investors. In those cases, we allege that the investment recommendations were unsuitable for our clients based on their financial situation, needs, and investment objectives.
We offer free case evaluations and handle matters on a contingency fee basis-meaning you pay no attorney's fees unless we recover compensation for you. If you have incurred investment losses with James McAuthor and would like a securities attorney to evaluate your case, please contact us.
