Published on:

James Harris has Outstanding IRS Liens

James HarrisPublicly available records published by the Financial Industry Regulatory Authority (FINRA) on February 26th, 2016 indicate that Texas-based Ameriprise broker/adviser James Harris is the subject of several settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Harris (CRD# 4004078).

James Harris has spent one year in the securities industry and has been registered with Ameriprise Financial Services in Abilene, Texas and Stephenville, Texas since October 2014. He was previously registered with AUL Equity Sales Corporation in Indianapolis, Indiana (1999). He is a registered broker and investment adviser in Texas.

According to his BrokerCheck report, James Harris is the subject of two customer complaints, one pending customer complaint, and four tax liens.

  • In 2014 the Internal Revenue Service (IRS) filed a tax lien totaling $636.84 against James Harries. The lien remains outstanding.
  • In 2014 the Internal Revenue Service IRS filed a tax lien totaling $101,615,33 against James Harries. The lien remains outstanding.
  • In 2008 a customer alleged James Harris, while employed at Xelan, made negligent misrepresentations of material facts, committed fraud, violated the Texas Insurance Code, violated the Texas Deceptive Trade Practices Act, engaged in unjust enrichment, breached his fiduciary duty, acted negligently, and committed malpractice. The complaint settled in 2013 for $77,500, to which Mr. Harris individually contributed $38,750.
  • In 2008 a customer alleged James Harris, while employed at Xelan, breached his fiduciary duty, negligently misrepresented material facts, violated the Texas Insurance Code, violated the Texas Deceptive Trade Practices Act, committed fraud, breached his fiduciary duty, acted negligently, committed malpractice, and engaged in unjust enrichment. The complaint settled in 2013 for $77,500, to which Mr. Harris individually contributed $38,750.
  • In 2008 the Internal Revenue Service IRS filed a tax lien totaling $33,865.71 against James Harries. The lien remains outstanding.
  • In 2004 a customer alleged James Harris, while employed at Xelan, sold Viatical settlements associated with a bonding company that went bankrupt. The customer is seeking $275,000 in damages in the pending complaint.

If you have complaints regarding James Harris, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recover lost funds. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.