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Investors Allege James Springer Failed to Disclose Information About Investment

James Springer (CRD #: 2535792), a broker registered with Stifel, Nicolaus & Company, allegedly omitted information about an investment, according to his BrokerCheck record, accessed on November 21, 2022. If you want to know more about his conduct as a broker, read on.

Investor Dispute

On August 11, 2022, multiple investors filed a dispute alleging James Springer failed to disclose there would be a holdback on retrieving their money after the two-year required hold. This dispute is currently pending.

This is James Springer’s fourth investor dispute.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise unethical means of influencing the purchase and sale of securities. Omitting information related to investments violates this rule.

Background Information

James Springer 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 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

James Springer is a registered broker in 23 states and the District of Columbia. He is also a registered investment adviser in Florida and Texas.

He has also worked for the following firms:

  • UBS Financial Services (CRD#:8174)
  • The Huntington Investment Company (CRD#:16986)
  • Nationsbanc Investments (CRD#:16361)
  • Barnett Investments (CRD#:14897)
  • First Union Brokerage Services (CRD#:8112)

Kurta Law Can Help

If you worked with James Springer 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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