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James Norris is the Subject of an Investor Dispute

James Norris (CRD #: 1054381), a broker registered with Robert W. Baird & Co., is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on June 17, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

On April 23, 2024, an investor alleged that James Norris failed to follow his instructions. The investor is seeking $222,320. 

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Failure to follow instructions may violate this rule. 

Background Information 

James Norris has passed the following exams: 

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

James Norris is a registered broker in 32 states and D.C. He is a registered investment adviser in Kentucky and Texas. 

During his 41 years of experience, he registered with the following firms: 

  • Robert W. Baird & Co. Incorporated (CRD #: 8158) 
  • JJB Hilliard, WL Lyons (CRD #: 453) 
  • JC Bradford & Co. (CRD #: 1287) 
  • Brokers Exchange (CRD #: 7894) 

Kurta Law Can Help 

If you have worked with James Norris and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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 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. Do not let securities fraud go unchecked. Start your recovery process today.