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James Ginsburg Allegedly Misrepresented Insurance Policy

James Ginsburg (CRD #: 5285236), a broker registered with Equitable Advisors, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on December 12, 2022. If you have questions about his alleged conduct as a broker, keep reading.

Investor Dispute

On September 16, 2022, an investor filed a dispute alleging that James Ginsburg misrepresented an insurance policy the client purchased in 2019. This dispute was denied by the firm.

Investors should be aware, however, that firms can deny disputes without an outside review. Investors can still seek out FINRA arbitration following a denial and may be able to recover their funds.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deception, manipulation, and other unethical tactics to influence investors’ decisions. The misrepresentation or omission of information related to investments violates this rule.

Background Information

James Ginsburg has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 65 – Uniform Investment Adviser Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

James Ginsburg is a registered broker in California, Florida, Georgia, New Mexico, and North Carolina. He is also a registered investment adviser in Florida and North Carolina.

He has also worked for ING Financial Partners (CRD#:2882).

Kurta Law Can Help

If you worked with James Ginsburg 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 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. 

 

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