DID JAMES WILLIAM EXLEY IV CAUSE YOU INVESTMENT LOSSES?
James Exley, IV Of Northwestern Mutual Investment Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct
Who is James Exley, IV formerly with Northwestern Mutual Investment Services, LLC?
James Exley, IV (CRD #2766625) who was formerly registered with Northwestern Mutual Investment Services, LLC and located in Alpharetta, Georgia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Northwestern Mutual Investment Services, LLC, James Exley, IV was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
James Exley, IV Customer Complaints
James Exley, IV has been the subject of 2 customer complaints that we know about to recover investment losses. One of the customer complaints was settled by Northwest and Mutual Investment Services in favor of the investor. The brokerage firm denied the other customer complaint and the customer took no further action.
Allegations Against James Exley, IV
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Unauthorized sale of stock investment in client’s accounts without consent.
- Unsuitable investment recommendations.
James Exley, IV Red Flags & Your Rights As An Investor
Of course, James Exley, IV 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 Exley, IV at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether James Exley, IV has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services, LLC 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 Northwestern Mutual Investment Services, LLC Due To James Exley, IV
If you have questions about Northwestern Mutual Investment Services, LLC and/or James Exley, IV 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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