Public records published by the Financial Industry Regulatory Authority (FINRA) on November 22, 2016 indicate that Kansas-based Summit Brokerage Services broker/adviser James Regier has received resolved or pending customer disputes. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Regier (CRD# 4497085).
James Regier has spent fourteen years in the securities industry and has been registered with Summit Brokerage Services in Topeka, Kansas since September 2016. Previous registrations include VSR Financial Services in Topeka, Kansas (2002-2016) and Washington Square Securities in Des Moines, Iowa (2002). He is a registered broker and investment adviser with fourteen US states and territories: Arizona, California, Colorado, Florida, Kansas, Missouri, Nebraska, North Carolina, Ohio, Oklahoma, South Carolina, Tennessee, Texas, and Virginia.
According to his BrokerCheck report, James Regier has received one customer complaint and two pending customer complaints.
In July 2016 a customer alleged James Regier, while employed at VSR Financial Services, recommended an unsuitable investment in United Development Funding IV. The customer is seeking $76,642 in damages in the pending complaint.
In April 2016 a customer alleged James Regier, while employed at VSR Financial Services, made unsuitable investment recommendations. The customer is seeking unspecified damages in the pending complaint.
In 2012 a customer alleged James Regier, while employed at VSR Financial Services, recommended unsuitable investments. The complaint settled for $104,191.
If you have lost money investing with James Regier, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.