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James Candella Involved in an Investor Dispute

James Candella (CRD #: 4365560), a broker registered with UBS Financial Services, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on September 10, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations

On May 21, 2024, an investor alleged that James Candella took money from her account without her permission. The dispute was denied, but investors should know that firms can deny disputes without external review. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Unauthorized withdrawals violate this rule. 

Background Information 

James Candella has passed the following exams: 

  • Series 66 Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination  

He is a registered broker in 32 states and D.C. He is a registered investment adviser in Tennessee and Texas. 

During his 23 years of experience, James Candella has registered with three firms: 

  • UBS Financial Services (CRD #: 8174) 
  • Morgan Stanley & Co. (CRD #: 8209) 
  • Morgan Stanley (CRD #: 7556) 

Kurta Law Can Help 

If you worked with James Candella and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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 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. Do not let securities fraud go unchecked. Start your recovery process today.

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