Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 2016 indicate that New York-based Stifel Nicolaus broker/adviser James Goetz, Jr. is the subject of a pending FINRA complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Goetz (CRD# 2826111).
James Goetz has spent 18 years in the securities industry and has been registered with Stifel Nicolaus & Company in Fairport, New York since 2014. He was previously registered with Merrill Lynch in Pittsford, New York (1998-2014). He is a registered broker and investment adviser with 24 US states and territories.
According to his BrokerCheck report, James Goetz is the subject of one FINRA complaint and was discharged from Merrill Lynch.
In April 2016, James Goetz was named respondent in a FINRA complaint alleging he “invested in the same private companies in which another registered representative had invested, and failed to give prior written notice to, and receive prior written permission from, his member firm before participating in these private securities transactions.” According to FINRA, Mr. Goetz “verbally sought authorization to invest in a private company, was expressly instructed by the firm’s management not to do so because customers were investors in the company, but made the investment despite the denial of his request.” The investigation remains pending.
In September 2014, James Goetz was discharged from his position at Merrill Lynch following allegations he did not disclose private securities transactions.
If you have lost money investing with James Goetz, you may be able to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.