First Republic Securities faces a $1 million arbitration case, due in part to their use of an investment strategy called “Harvest Volatility Management.” Harvest Volatility Management uses a risky overlay strategy to generate a return on investments. Certain investors have alleged that representatives described the strategy as low risk, with the promise of a 5%…

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James Wilcox (CRD #: 4261884), a broker registered with First Republic Securities Company LLC, has a pending client dispute regarding an unsuitable investment strategy, according to his BrokerCheck record, accessed on September 23, 2020. Mr. Wilcox is also an investment adviser registered with First Republic Investment Management, Inc. For more details on James Wilcox’s career…

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