Western International Securities broker James Mayes (CRD# 2879995) faces a complaint related to unsuitable investment recommendations. He has been registered with Alexander Capital, L.P. in Red Bank, New Jersey, since 2023. Previously, he was registered with Western International Securities in Woodland Hills, California, from 2017 to 2023, and with Financial West Group in Tarzana, California, from 2013 to 2017.
James Mayes Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
March 2023. “Unsuitability; Misrepresentation.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint took place while he was registered with Western International Securities, and it was regarding corporate debt and alternative investment losses.
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, Western International Securities may be liable for investment or other losses suffered by James Mayes’ 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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