Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2018 indicate that former Rhode Island-based Voya Financial Advisors broker/adviser James Joly has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Joly (CRD# 2193463).
James Joly has spent 26 years in the securities industry and has been registered with Voya Financial Advisors in East Greenwich, Rhode Island since August 2017. Previous registrations include Morgan Stanley in Newport, Rhode Island (2017); LPL Financial in East Greenwich, Rhode Island (1996-2017); and First Investors Corporation in New York, New York (1991-1996). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 30, 1996; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 25, 1991; Series 7 (General Securities Representative Examination), which he obtained on June 12, 1997; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 14, 1991; and Series 24 (General Securities Principal Examination), which he obtained on October 30, 1997. He is a registered broker with eight US states and territories: California, Connecticut, Indiana, New York, North Carolina, Ohio, Rhode Island and South Carolina.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint and one denied customer complaint.
In September 2017 a customer alleged James Joly, while employed at LPL Financial, made unsuitable investment recommendations and executed unauthorized transactions in connection to mutual fund product and non-traded real estate investment trust products. The customer is seeking unspecified damages in the pending complaint.
In 2013 a customer alleged James Joly, while employed at LPL Financial, recommended unsuitable real estate investment trust products. The customer sought unspecified damages in the complaint, which was denied.
In 2012 a customer alleged James Joly, while employed at LPL Financial, recommended unsuitable investments in tenant-in-common securities, real estate investment trusts, a high yield fund and a business development company. The complaint settled in 2013 for $87,500.
If you have lost money investing with James Joly, you may be able to recover your losses. Call 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.