Erez Law is currently investigating Raymond James & Associates, Inc. broker James Hart (CRD# 1122114), who is accused of investment losses. He has been registered with Raymond James & Associates, Inc. in Carmel, Indiana, since 2011.
James Hart Customer Complaints
He has been the subject of three customer complaints between 1996 and 2024, according to his CRD report. The most recent complaint was regarding:
June 2024. “Client’s guardian alleges client’s account is not being managed in the best interests of an elderly client and/or is being charged excessive fees.” The case is currently pending. The complaint took place while he was registered with Raymond James & Associates, Inc.
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, Raymond James & Associates, Inc. may be liable for investment or other losses suffered by James Hart’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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