James Benjamin Farris Faced Allegations of Customer Misrepresentations & Omission of Facts in 2015, but the Dispute was Denied, and Faced Disputes in 2009 Settled for Amounts Less than $8K

James Farris faced a customer dispute in 2015 involving allegations of misrepresentations and omission of facts, but the dispute was denied, according to his FINRA BrokerCheck Report under review by attorney Alan Rosca. Farris has had two more prior 2009, but they were settled for amounts less than $8,000, his BrokerCheck notes.

Farris was a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 36,600 registered representatives nationwide, from 2012 to 2017. James has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight, according to his FINRA BrokerCheck Report.

Attorney Alan Rosca, of the Goldman Scarlato & Penny PC law firm, is investigating activity related to James Farris and the allegations in his customer disputes.  Investors who believe they may have lost money in activity related to James Farris and the allegations in his customer disputes are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.

James Farris Barred by FINRA for Allegedly Failing to Respond to FINRA Request for Information

James Farris has been barred by FINRA for allegedly failing to respond to FINRA request for information, according to the aforementioned FINRA BrokerCheck under review by attorney Alan Rosca.

Securities Lawyer Investigating

The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating James Farris and the allegations in his customer disputes. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions, and has helped recover money on behalf of investors.

Investors who believe they lost money as a result of James Farris and the allegations in his customer disputes may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at rosca@lawgsp.com, or through the contact form on this webpage.

filed under: Investigations

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent updates regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases. Also, the brokercheck report linked to some of our blogs is the up-to-date version as of the date of posting. Visitors may check the most recent version of each brokercheck report at www.finra.org.