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James Alperin Allegedly Executed Unauthorized Trades

James Alperin (CRD #: 2467392), a broker registered with Wells Fargo Clearing Services, allegedly executed unauthorized trades, according to his BrokerCheck record, accessed on March 10, 2025. Investors may have also engaged his services through Wells Fargo Advisors. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

On December 30, 2024, an investor filed a dispute alleging that James Alperin executed unauthorized trades. This dispute is currently pending.

FINRA Rule 3260

FINRA Rule 3260 prohibits brokers from conducting discretionary trading outside discretionary accounts, which are pre-approved for discretionary trading by the firm and the client.

Background Information

James Alperin has passed the following exams:

  • General Securities Principal Examination – Series 24
  • Registered Options Principal Examination – Series 4
  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Investment Adviser Law Examination – Series 65
  • Uniform Securities Agent State Law Examination – Series 63

James Alperin is a registered broker in 16 states and the District of Columbia. He is also a registered investment adviser in Connecticut, New York, and Texas.

He has also worked for the following firms:

  • Morgan Stanley (CRD#:149777)
  • Northland Securities (CRD#:40258)
  • C & Co/Princeridge Group (CRD#:149758)
  • Rodman & Renshaw (CRD#:16415)
  • Caris & Company. (CRD#:104235)
  • Kaufman Bros (CRD#:37909)
  • C.E. Unterberg, Towbin (CRD#:24790)
  • Soundview Financial Group (CRD#:15425)

Kurta Law Can Help

If you worked with James Alperin and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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