James Thomas Walters (James Walters) – Financial Advisor/Broker James Walters Barred from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
James Walters was a formerly licensed financial advisor with Edward Jones. According to James Walters’ BrokerCheck report, James Walters was barred from the securities industry in November 2018.
According to FINRA: James Walters failed to respond to FINRA’s request for information.
According to James Walter’s BrokerCheck Report:
A customer dispute was filed alleging that James Walters misappropriated funds from a client’s Traditional IRA from 2015 through 2018. This customer dispute was settled for $300,751.55.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with James Walters 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 James Walters’ 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 James Walters 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 12/30/2019 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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