James David Fendrick (CRD #6115148) Has Disclosures on FINRA BrokerCheck

James David Fendrick (CRD #6115148) is currently registered with Huntleigh Advisors, Inc. and Huntleigh Securities Corporation. We reviewed his BrokerCheck report on March 19, 2026. It reflects one customer dispute and one employment separation disclosure. If you invested with James Fendrick and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

James Fendrick’s FINRA BrokerCheck report reflects one customer dispute disclosure. A summary of the dispute is below:

On September 6, 2013, a customer alleged James Fendrick provided poor advice after the customer lost value on corporate debt investments. The customer sought $13,985.27 in damages. James Fendrick’s FINRA BrokerCheck report lists the complaint as denied on October 1, 2013. His statement says the firm investigated the allegations and denied the claim.

Employment Separation After Allegations

James Fendrick’s FINRA BrokerCheck report reflects one employment separation disclosure. A summary of that disclosure is below:

On January 13, 2026, Edward Jones discharged James Fendrick over concerns that he did not follow firm policies tied to the obligation to know the customer. James Fendrick’s FINRA BrokerCheck report lists the product type as equity listed common and preferred stock.

Rule Summary #1: FINRA Rule 2090 (Know Your Customer)

FINRA Rule 2090 requires brokers to use reasonable diligence to know the essential facts about each customer and the authority of each person acting for that customer. Issues tied to account handling or customer information can raise questions about whether that duty was met.

Rule Summary #2: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a reasonable basis to believe a recommendation fits the customer’s investment profile. Complaints about poor advice often raise questions about risk tolerance, investment objectives, and whether the recommendation matched the customer’s needs.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, James Fendrick:

Is currently registered with Huntleigh Advisors, Inc. and Huntleigh Securities Corporation.

Has passed the Securities Industry Essentials (SIE) exam. James Fendrick has also passed Series 7 and Series 66.

Was previously registered with Edward Jones.

Kurta Law Can Help

If you have worked with James Fendrick and you have concerns about his activity, Kurta Law may be able to help you evaluate your legal options. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Unsuitable Investments | Securities Attorney

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. If you believe a broker or firm mishandled your account, an attorney can review the facts and explain possible next steps.