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James Feliz Named in Allegations of Misconduct

James Feliz (CRD #: 2192720), a broker registered with MML Investors Services, is involved in an investor dispute, according to his BrokerCheck record, accessed on April 9, 2025. Keep reading if you have questions about his alleged conduct as a broker.

Investor Dispute

On February 3, 2025, an investor named James Feliz in allegations that, in 2024, a mutual fund was sold without the client’s authorization and the proceeds from this sale were used to purchase another mutual fund. This dispute is currently pending.

FINRA Rule 3260

Unauthorized trading violates FINRA Rule 3260, which limits brokers to engaging in discretionary trading only in pre-authorized accounts. Both the firm and the client must approve an account before discretionary trading can occur.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

James Feliz has passed the following exams:

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

James Feliz is a registered broker in 22 states and a registered investment adviser in California and Texas.

He has also worked for Pelion Securities Corporation (CRD#:103941) and WorldCo (CRD#:24673).

Kurta Law Can Help

If you worked with James Feliz 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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