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.