DID JAMES LEE CONNELL CAUSE YOU INVESTMENT LOSSES?
James Connell Formerly With Mid-Atlantic Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct
Who is James Connell Mid-Atlantic Securities, Inc.?
James Connell (CRD #52276) who was formerly registered with Mid-Atlantic Securities, Inc. and located in Raleigh, North Carolina, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Mid-Atlantic Securities, Inc., James Connell was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
James Connell Customer Complaints
James Connell has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customer complaints were settled by James Connell’s employer in favor of the investors.
Allegations Against James Connell
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Misrepresentation of an investment in the form of loans to Plymouth Farms.
- Unsuitable recommendation of an investment in loans to entities controlled by the financial advisor coupled with a misrepresentation about the financial condition of the Company.
- Misrepresentation of financial condition of Plymouth Farms.
James Connell Red Flags & Your Rights As An Investor
Of course, James Connell 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 Connell at Mid-Atlantic Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Connell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Mid-Atlantic Securities, Inc. 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.
File A Claim To Recover Your Investment Losses At Mid-Atlantic Securities, Inc. Due To James Connell
If you have questions about Mid-Atlantic Securities, Inc. and/or James Connell 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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