James Williams with Newbridge Securities Subject of Six Complaints

BOCA RATON, FLORIDA

Did you invest with financial advisor James Williams from Boca Raton, Florida?  Our investment fraud law firm is reviewing allegations made by his clients.  He  has been licensed with Newbridge Securities since 2010.

James Earl Williams is the subject of 6 customer complaints, two of which were made since 2022.  In 2022, Newbridge Securities paid $140,000 to settle a complaint where a customer alleged a breach of fiduciary duty related to an “alternative” investment sold by Williams.  A complaint was also filed in August 2023, in which the firm denies any wrongdoing.  Williams was also suspended by the Florida Office of Financial Regulation for a year in 2012, in which Florida alleged that he made a material misrepresentation on his license application.

Stockbrokers are required to abide by FINRA (the Financial Industry Regulatory Authority) rules.  FINRA Rule 2111 states that advisors make suitable investment recommendations to customers.  The brokerage firm and/or advisor can be liable if Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in Florida.  Attorney David Neuman is licensed to practice law in Florida.

SEE JAMES WILLIAMS BROKERCHECK REPORT HERE

If you lost money with James Earl Williams or Newbridge Securities, please Contact Us at (206) 795-5798 for a free evaluation of your case.