Complaint Involving Advisor GREGORY JAMES of AXA Advisors

Israels & Neuman, PLC

Customer Complaint Made Against Equitable Advisors (previously AXA Advisors) Involving Gregory James and Structured Product

SCOTTSDALE, ARIZONA

Israels & Neuman is a securities arbitration and investment fraud law firm with offices in Phoenix, Arizona; Denver; and Seattle. Our law firm is looking into allegations made against current Equitable Advisors advisor Gregory James, in Scottsdale, Arizona. According to FINRA’s BrokerCheck, James was the subject of a recent customer complaint involving a structured product.

The structured product was allegedly sold in 2019, and the customer alleges that the investment was unsuitable. The complaint is not pending in FINRA arbitration yet.

Equitable Advisors (previously known as AXA Advisors) has had Gregory H. James as its representative since 1995, and he has also been an investment advisory representative of Crown Capital since 2004. He worked in branch offices in Scottsdale, Arizona.

FINRA Rule 2111 provides that investment recommendations to customers must be suitable, considering the customer’s age, risk tolerance, net worth, and investment objectives, among other factors. If the firm and/or advisor violate Rule 2111, they can be obligated to pay customer losses.

View BrokerCheck: James, g BrokerCheck 4.18.22

Israels & Neuman represents investors in all 50 states, and we also have an office in Phoenix, Arizona.

If you lost money with Gregory James or Equitable Advisors, please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.

Topics

Client Reviews

What are past clients saying about Israels & Neuman, PLC?

View More
Submit a Law Firm Client Review

Aaron Israels was diligent, professional, knowledgeable and extremely thorough. My legal ordeal was quite cumbersome but Aaron was present, willing and ready to go the extra mile for me. I HIGHLY RECOMMEND, Israels and Neuman, PLLC for...

Kay H.

I have worked with many attorneys over the course of my career in both large and small businesses. Dave and Aaron are an outstanding legal team. I used Dave and Aaron for a personal situation that called for a hands on detailed approach. I found...

Fred S.

Aaron created our wills and offered solutions that made the process easy and pain free. We recently needed to amend our wills, and he made suggestions that made a better distribution that we had not thought of prior to meeting with him. He was...

Debra K.

I have worked with Aaron Israels for over eight years and can confidently say that he is the most honest and hard-working attorney I know. He not only gets results, but he also genuinely cares about his clients and colleagues. If you have a...

Tony E.

Mr. Aaron Israels set up our business by listening to us and creating a structure legal structure that was exactly what we wanted and needed. All of the work was set up in a binder for easy access to all information along with clear instructions...

Tom K.

Are You a Victim of Investment Fraud?

  1. 1 Free Confidential Consultation
  2. 2 Available 24/7
  3. 3 20+ Years of Experience
Fill out the contact form or call us at (616) 280-4303 to schedule your free confidential consultation.

Leave Us a Message