Erez Law is currently investigating Robert W. Baird & Co. Incorporated broker James Norris III (CRD# 1054381) regarding investment losses. He has been registered with Robert W. Baird & Co. Incorporated in Ashland, Kentucky, since 2019. He was registered with J.J.B. Hilliard, W.L. Lyons, LLC in Ashland, Kentucky, from 2004 to 2019.
James Norris III Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
April 2024. “Client Alleges the Financial Advisor failed to follow his instructions.” The customer is seeking $222,320 in damages, and the case is currently pending. The complaint took place while he was registered with Robert W. Baird & Co. Incorporated
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Robert W. Baird & Co. Incorporated may be liable for investment or other losses suffered by James Norris III’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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