Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 3, 2016 indicate that Massachusetts-based Questar Capital broker James Fleming III is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fleming (CRD# 846806).
James Fleming has spent 38 years in the securities industry and has been registered with Questar Capital in Worcester, Massachusetts since July 2016. Previous registrations include Investors Capital in Worcester, Massachusetts; Wachovia Securities in St. Louis, Missouri; First Union Capital Markets in Charlotte, North Carolina; Robert Thomas Securities in St. Petersburg, Florida; American Express Financial Advisors in Minneapolis, Minnesota; and IDS Life Insurance Company in Minneapolis, Minnesota. He is a registered broker with six US states: California, Connecticut, Florida, Massachusetts, New Hampshire, and Texas.
According to his BrokerCheck report, James Fleming has received one customer complaint and one pending customer complaint.
In August 2016 a customer alleged James Fleming, while employed at Investors Capital, recommended unsuitable investments from 2009 through 2013. The customer is seeking $50,000 in damages in the pending complaint.
In 2013 a customer alleged James Fleming, while employed at Investors Capital, churned investments, made excessive trades, and recommended unsuitable securities. The customer sought $50,000 in damages in the complaint, which was closed.
In 2013 a customer alleged James Fleming, while employed at Investors Capital, did not fulfill a request in a timely manner. The customer sought $6,000 in damages in the complaint, which was denied.
In 1997 a customer alleged James Fleming made investment recommendations that incurred unexpected tax liabilities. The complaint settled for $52,155.
If you have lost money investing with James Fleming III, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.