James Booth: Denied, Closed Complaints Against LPL Rep
Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on June 13, 2019 indicate that Connecticut-based LPL Financial broker/adviser James Booth has received closed or denied customer complaints. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Booth (CRD# 1906145).
James Booth has spent 28 years in the securities and has been registered with LPL Financial in Norwalk, Connecticut since February 2018. Previous registrations include Invest Financial Corporation in Norwalk, Connecticut (2005-2018); Cadaret Grant & Company in Norwalk, Connecticut (1993-2005); Guardian Investor Services in New York, New York (1992-1993); Reliastar Financial Marketing Corporation in Seattle, Washington (1990-1992); and One Wall Street Brokerage (1989). He has passed seven securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 1, 2006; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 22, 1989; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 27, 1997; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 22, 1989; Series 24 (General Securities Principal Examination), which he obtained on September 18, 2000; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on April 19, 1993. He is a registered broker and investment adviser with 24 US states and territories: California, Colorado, Connecticut, Delaware, Florida, Illinois, Indiana, Maine, Maryland, Massachusetts, Missouri, Nebraska, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas, Utah, Vermont, Virginia, and Washington.
According to his BrokerCheck report, he has received two closed customer complaints and one denied customer complaint.
In 2016 a customer alleged James Booth, while employed at Cadaret Grant & Company, did not give him the proceeds of a loan taken out on his life insurance policy in 2004. The customer sought $27,000 in damages in the complaint, which was denied.
In 2004 a customer alleged James Booth, while employed at Cadaret Grant & Company, provided dissatisfactory advisory account services accompanied by dissatisfactory fees. The customer sought $23,502 in damages in the complaint, which was closed with no action taken.
In 2004 a customer’s spouse alleged James Booth, while employed at Cadaret Grant & Company, recommended an unsuitable variable annuity investment. The customer sought unspecified damages in the complaint, which was closed with no action taken.
If you or someone you know has a complaint regarding James Booth, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect 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.