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Investor Claims James Duncombe Failed to Manage Their Accounts

James Duncombe (CRD #: 4574450), a broker registered with Kestra Investment Services LLC, allegedly failed to actively manage a client’s accounts, according to his BrokerCheck record, accessed on March 28, 2022. Keep reading if you have questions about James Duncombe’s conduct as a broker.

Investor Allegations

According to allegations filed on February 25, 2022, an investor claims that James Duncombe failed to actively manage their accounts which ultimately resulted in performance issues. Investors should be able to rely on the brokers to uphold FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.

Background Information

James Duncombe has passed the following exams:

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

He is a registered broker in eight states and is a registered investment adviser in Arizona and California.

In addition to working at Kestra Investment Services, LLC, James Duncombe has also worked at Waddell & Reed (CRD #: 866), Ameriprise Financial Services, Inc. (CRD #6363), as well as Thrivent Investment Management Inc., (CRD #: 18387).

Kurta Law Can Help

If you have been victimized by James Duncombe as a broker and are concerned about your investments, don’t hesitate to contact us today at 877-600-0098 or 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.