DID JAMES DENNIS DEFELICE CAUSE YOU INVESTMENT LOSSES?
About James DeFelice of Equitable Advisors, LLC?
James DeFelice (CRD #6540511) , New York, New York, is a registered securities broker with Equitable Advisors, LLC, based in New York, NY. He has been with the firm since October 8, 2015. His prior experience includes working as a registered representative at AXA Advisors, LLC (2015–2020). Over his career, Mr. DeFelice has passed two general industry/product exams (Series 7 and Securities Industry Essentials) and two multi-state securities law exams (Series 63 and Series 66). He is registered with one self-regulatory organization and holds licenses in 19 U.S. states and territories.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
James DeFelice Customer Complaints and Reviews
James D. DeFelice has one reported customer dispute:
- Customer Dispute (Pending):
- Date: received November 1, 2024.
- Complaint: The client alleged misrepresentation regarding the fees and terms of a Variable Universal Life (VUL) insurance policy issued in 2023.
- Status: The case is pending, with no settlement reported. The firm estimated potential damages exceeding $5,000.
Allegations Against James DeFelice
Pending Customer Dispute:
- The dispute involves allegations of misrepresentation related to a Variable Universal Life policy, particularly concerning fees and terms. This indicates a potential communication or understanding issue between Mr. DeFelice and the client.
- While damages exceeding $5,000 were estimated, the matter has not been adjudicated, and no findings of wrongdoing have been reported to date.
- This pending case highlights the importance of clear and transparent communication with clients about product details to avoid misunderstandings and disputes.
James DeFelice Red Flags & Your Rights As An Investor
Of course, James DeFelice did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James DeFelice at Equitable Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether James DeFelice has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Equitable Advisors, LLC Due To James DeFelice
If you have questions about Equitable Advisors, LLC and/or James DeFelice and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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