Public records published by the Financial Industry Regulatory Authority (FINRA) on December 1, 2016 indicate that New Jersey-based Oppenheimer & Company broker/adviser James Cady has been the subject of a customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cady (CRD# 2642223).
James Cady has spent 21 years in the securities industry and has been registered with Oppenheimer & Company in Red Bank, New Jersey since 2010. Previous registrations include Wells Fargo Advisors in Red Bank, New Jersey (2005-2010); Merrill Lynch in New York, New York (2000-2005); and Salomon Smith Barney in New York, New York (1995-2000). He is a registered broker and investment adviser with seven US states and territories: California, Colorado, Florida, New Jersey, New York, South Carolina, and Virginia. He has passed three regulatory exams: Series 7 (General Securities Representative Examination), Series 63 (Uniform Securities Agent State Law Examination), and Series 65 (Uniform Investment Adviser Law Examination).
According to his BrokerCheck report, James Cady has received one customer complaint and was discharged from Wells Fargo.
In 2010 James Cady was terminated from his position at Wells Fargo Advisors following allegations he borrowed money from a client and others.
In 2008 a customer alleged James Cady, while employed at Merrill Lynch, failed to follow instructions and executed unauthorized trades. The customer sought unspecified damages in the complaint, which was denied.
In 2003 a customer alleged James Cady, while employed at Merrill Lynch, recommended unsuitable investments. The complaint settled for $50,000.
If you have complaints regarding James Cady, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. 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.