James Wilcox (CRD #: 4261884), a broker registered with First Republic Securities in Jackson, Wyoming, is facing two investor disputes, according to his BrokerCheck record, accessed on February 2, 2021. These disputes collectively allege damages of $1.9 million – details about the disputes are provided below.

On November 17, 2020, an investor alleged that James Wilcox recommended an unsuitable investment strategy. The investor is seeking $1,100,000; the dispute is pending.

On July 10, 2020, an investor alleged that James Wilcox recommended an unsuitable investment strategy. The investor is seeking $800,000; the dispute is pending.

James Wilcox has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 66 Uniform Combined State Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 7 General Securities Representative Examination, and the Series 3 National Commodity Futures Examination. Wilcox is a registered broker in all 50 states as well as D.C. and Puerto Rico. He is also a registered investment adviser in California and Wyoming.

Wilcox has worked at two other firms besides First Republic Securities:

  • First Republic Investment Management (CRD #: 108559)
  • Goldman Sachs & Co (CRD #: 361)

If James Wilcox was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email info@fkesq.com for a free case consultation with a securities attorney.

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