Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that Florida-based RBC Capital Markets broker/adviser James Earl has received a pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Earl (CRD# 1234987).
James Earl has spent 34 years in the securities industry and has been registered with RBC Capital Markets in Fort Lauderdale, Florida since 2009. Previous registrations include JB Hanauer & Company in Plantation, Florida (1989-2009); JF Lowe & Company (1988-1989); Greentree Securities Corporation (1988); Brooks Weinger Robbins & Leeds (1986-1988); Norbay Securities (1985-1986); and the Stuart-James Company (1984-1985). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 15, 2002; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 11, 1985; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on March 17, 1984. He is a registered broker and investment adviser with 25 US states and territories.
According to his BrokerCheck report, he has received one pending customer complaint and two denied customer complaints.
In November 2018 a customer alleged James Earl, while employed at RBC Capital Markets, made unsuitable recommendations that she purchase and hold certain speculative, high-risk oil and gas notes in 2015. The customer is seeking $55,000 in damages in the pending complaint.
In 2010 a customer alleged James Earl, while employed at JB Hanauer & Company, recommended a bond investment without making him aware of all the material facts. The customer sought $100,000 in damages in the complaint, which was denied.
In 2008 a customer alleged James Earl, while employed at JB Hanauer & Company, failed to adequately disclose the backing of a certain municipal debt security. The customer sought unspecified damages in the complaint, which was denied.
If you or someone you know has a complaint regarding James Earl, call the attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. You may have a limited window by law to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.