Alexander Jon James (Alex James) – Financial Advisor/Broker Alex James Suspended from Securities Industry

Alexander Jon James (Alex James) – Financial Advisor/Broker Alex James Suspended from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses

Alexander Jon James (Alex James) CRD #5630825

Alex James was a previously licensed financial advisor/broker with Allstate Financial Services, LLC and Voya Financial Advisors, Inc. According to FINRA, Alex James was fined $10,000 and suspended from the securities industry for one year in April 2020.

According to FINRA Allegations:

In January 2013, Alex James and two other individuals, who were not associated with any member firms, formed and incorporated a company that charged users a monthly subscription fee for access to a website that subscribers could use to seek funding for various projects or ventures (the “Company”). During the relevant period, Alex James helped run the day-to-day operations of the Company and assisted in business development and marketing. For his work, James was paid a total of $16,000.

In May 2014 and again in May 2015, Alex James solicited two Firm customers to invest in the Company by purchasing shares of the Company. Alex James introduced the Firm customers to the potential investments and helped facilitate the transactions by meeting with them to discuss the investments and providing them with the purchase agreements. The Firm customers’ two investments totaled $667,000.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with Alex James and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Alex James’ conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Alex James and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

Some of the information in this blog post was obtained on 4/2/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

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