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James Buckley Involved in Investor Dispute Alleging Misrepresentation

Mar 8, 2022 Misrepresentation

James Buckley (CRD #:4316696), a broker and investment advisor registered with Charles Schwab & Co., is involved in an investor dispute, according to his BrokerCheck record accessed on February 25, 2022. 

According to the allegations filed on December 6, 2021, James Buckley provided inaccurate and misleading information as to whether or not his client could sell shares resulting from a merger even though the "new" shares had not yet been received into her account.  

The investor is seeking $50,000一the case is still pending.

Misrepresentations and omissions concerning material facts in investment recommendations deprive investors of the information they need to assess risks associated with a particular investment. FINRA Rule 2020 prohibits brokerage firms and stockbrokers from making material misrepresentations or inducing people into buying investments with false statements about their potential benefits. This unethical conduct also violates FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor. 

Background Information

James Buckley has passed the following exams:

  • Series 65 - Uniform Investment Adviser Law Examination
  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 6 - Investment Company Products/Variable Contracts Representative Examination
  • Series 9 - General Securities Sales Supervisor - Options Module Examination

James Buckley is a registered broker in 50 states and Washington D.C. He is also a registered investment advisor in Colorado.

Besides Charles Schwab & Co., James Buckley has also worked with the following firms:

  • USAA Investment Management Company (CRD#:5475)
  • USAA Financial Advisors (CRD#:129035)
  • USAA Financial Planning Services (CRD#:106352)
  • T. Rowe Price Investment Services (CRD#:8348)
  • T. Rowe Price Advisory Services  (CRD#:108958)

Kurta Law Can Help

If you have worked with James Buckley and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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. Please reach out if you have any questions about what steps to take next to recover your investment losses.