Victim of Financial Fraud? Call Now

James Rockford Facing Allegations of Misappropriation 

James Rockford (CRD #: 2454607), a broker registered with Stifel, Nicolaus & Company, has an investor dispute on his BrokerCheck record, accessed on July 19, 2023. For more detail, keep reading. 

On May 26, 2023, an investor alleged that James Rockford misappropriated funds in connection with automated rebalancing mutual fund purchases made during December of 2021 in the customer’s custom advisory portfolio account. The firm has denied the dispute, but investors should know that they can still recover losses following a denial. 

Misappropriation 

FINRA Rule 2150 prohibits the improper use or conversion of investor funds. Investors who have questions should read more about misappropriation

FINRA Rule 2010

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

Background Information 

James Rockford has passed the following exams: 

  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination 

He is a registered broker in 17 states and is a registered investment adviser in Texas. 

James Rockford has registered with the following firms: 

  • Wachovia Securities (CRD #: 19616) 
  • A.G. Edwards & Sons (CRD #: 4) 
  • Oppenheimer & Co. (CRD #: 630) 
  • Texas Capital Securities (CRD #: 25564) 

Kurta Law Can Help

If you worked with James Rockford 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.