Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 27, 2017 indicate that New York-based Wells Fargo Clearing Services broker/adviser James Levitt has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Levitt (CRD# 3043837).
James Levitt has spent eighteen years in the securities industry and has been registered with Wells Fargo Clearing Services in New York, New York since 2015. Previous registrations include Morgan Stanley in New York, New York; Citigroup Global Markets in New York, New York; Laidlaw & Company in London, UK; and Sands Brothers & Company in New York, New York. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 31 (Futures Managed Funds Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with 22 US states and territories.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In March 2017 a customer alleged James Levitt, while employed at Morgan Stanley Smith Barney, executed excessive trades in products including exchange traded funds and closed-end funds. The customer is seeking $50,000 in damages in the pending complaint.
In 2011 a customer alleged James Levitt, while employed at Morgan Stanley Smith Barney, failed to follow instructions “with respect to the amount of commissions he wanted to incur in his account.” The complaint settled in 2012 for $25,000.
If you or someone you know has complaints regarding James Levitt, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.