DID JAMES EUGENE HOLMES III CAUSE YOU INVESTMENT LOSSES?
James Holmes III Formerly With Wells Fargo Clearing Services, LLC was terminated on September 17, 2024, following allegations of using trading discretion in multiple client accounts without the required authorization.
Who is James Holmes III formerly with Wells Fargo Clearing Services, LLC?
James Holmes III (CRD #2174697) who was formerly registered as a broker with Wells Fargo Clearing Services, LLC and located in Winston Salem, North Carolina, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
James Holmes III Employment History
James Eugene Holmes III has over 30 years of experience in the securities industry. Throughout his career, he has been registered with five firms, including Wells Fargo Clearing Services, LLC, where he worked from August 2019 until his discharge in September 2024. His employment history also includes positions at Stephens, Deutsche Bank Securities Inc., DB Alex. Brown LLC, and Alex. Brown & Sons Incorporated.
Holmes has passed two general industry/product exams and two multi-state securities law exams but has not completed any principal/supervisory exams. He currently holds no active registrations.
- Termination: Holmes was discharged from Wells Fargo Clearing Services, LLC, on September 17, 2024, due to allegations of using trading discretion in multiple client accounts without the required authorization. The products involved included equities, mutual funds, and money market funds
James Holmes III Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of James Holmes is a red flag which should put all current and former customers of James Holmes at Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether James Holmes engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wells Fargo Clearing Services, 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 Wells Fargo Clearing Services, LLC Due To James Holmes III
If you have questions about Wells Fargo Clearing Services, LLC and/or James Holmes III 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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