James Mashey Allegedly Failed to Inform Client

James Mashey (CRD #: 2273996), a broker registered with LPL Enterprise, allegedly failed to disclose facts to an investor, according to his BrokerCheck record, accessed on May 24, 2025. Read on if you have questions about his alleged conduct as a broker.

Investor Dispute

On February 25, 2025, an investor filed a dispute alleging that James Mashey failed to adequately disclose the facts about an investment’s fees, charges, and expenses. The client sought $60,000 in damages but the firm denied the dispute.

However, investors should be aware that they can still seek out FINRA arbitration and recover their losses even if a firm denies their dispute.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent methods to influence investors’ decisions. This includes the misrepresentation or omission of material facts, such as an investment’s requirements, limitations, and other features.

Background Information

James Mashey has passed the following exams:

• Investment Company Products/Variable Contracts Principal Examination – Series 26
• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Investment Company Products/Variable Contracts Representative Examination – Series 6
• Uniform Investment Adviser Law Examination – Series 65
• Uniform Securities Agent State Law Examination – Series 63

James Mashey is a registered broker in 11 states and a registered investment adviser in Pennsylvania and Texas.

He has also worked for the following firms:

• Prudential Financial Planning Services (CRD#:5685)
• Pruco Securities (CRD#:5685)
• Farmers Financial Solutions (CRD#:103863)
• LPL Financial (CRD#:6413)
• Trustmont Advisory Group (CRD#:106015)
• Trustmont Financial Group (CRD#:18312)
• Tower Square Securities (CRD#:833)
• Eagle Strategies Corporation (CRD#:110826)
• NYLIFE Securities (CRD#:5167)

Kurta Law Can Help

If you worked with James Mashey 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.