James Sophia JR Has An Investor Complaint – Goodman & Nekvasil, P.A., May Recover Investor Losses
VANDERBILT ADVISORY SERVICES investment adviser, James Sophia JR Has An Investor Complaint.
CRD#: 3222645
Call 800-500-4442 if you think that you have received unsuitable investment recommendations from your adviser.
James Richard Sophia JR (CRD#: 3222645), a registered representative for VANDERBILT SECURITIES, LLC, in Shaker Heights, OH, has a pending investor complaint. According to Sophia’s FINRA BrokerCheck report, Client alleged, inter alia, that investment strategy implemented in their account was not in their best interests 2019-2024.
The complainant is requesting $50,000.00 for alleged damages.
Sophia Jr. was subsequently terminated by Morgan Stanley. Sophia’s former employer made allegations related to use of personal device to engage in off-platform written business-related communications, failure to disclose a lien, and an outside financial relationship with a customer.
James Richard Sophia JR Has An Investor Complaint.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to its clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 million dollars on behalf of victimized investors.
We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 2/26/25. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.