James SpringerThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations against Florida-based Stifel Nicolaus broker/adviser James Springer (CRD# 2535792).

James Springer has spent 20 years in the securities industry and has been registered with Stifel Nicolaus  in Sarasota, Florida since 2014. Previous registrations include UBS Financial Services in Sarasota (2002-2014); Huntington Investment Company in Columbus, Ohio (1998-2002); NationsBanc Investments in Boston, Massachusetts (1998); Barnett Investments in Jackson, Florida (1997-1998); and First Union Brokerage Services in Charlotte, North Carolina (1994-1997). Mr. Springer is a registered broker and investment adviser with twenty-one US states and territories.

According to his BrokerCheck report, James Springer is the subject of sixteen customer complaints, three pending customer complaints, and four customer complaints that were closed or denied. He was additionally discharged from UBS Financial Services.

  • In 2015 a customer alleged James Springer, while employed at UBS Financial Services, failed to fully disclose the fees associated with account management.
  • In 2015 a customer alleged James Springer, while employed at UBS Financial Services, provided careless advice and made an unsuitable investment recommendation. The customer is seeking unspecified damages in the pending complaint.
  • In 2015 a customer alleged James Springer, while employed at UBS Financial Services, misrepresented material facts related to an investment and recommended unsuitable investments in hedge funds and life insurance. The customer is seeking $1,500,000 in damages in the pending complaint.
  • In 2014 a customer alleged James Springer, while employed at UBS Financial Services, failed to accurately portray account-related fees. The complaint settled for more than $197,000.
  • In 2012 a customer alleged James Springer, while employed at UBS Financial Services, issued inappropriate hedge fund investments that were unsuitable and over-concentrated. The customer sought unspecified damages in the complaint, which was denied.
  • In 2009 a customer alleged James Springer, while employed at UBS Financial Services, recommended a speculative investment outside of his risk tolerance. The customer sought $161,063 damages in the complaint, which was denied.
  • In 2001 a customer alleged James Springer, while employed at the Huntington Investment Company, recommended an unsuitable variable annuity investment. The customer sought a refund of commissions in the complaint, which was denied.

If you have suffered losses as a result of investments made with James Springer, you may be able to collect a recovery. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: we only receive payment if and when you recover money. You may have a limited window to file your claim, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.