The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
According to FINRA records, James R. Bernthal has been registered with Dawson James Securities since 4/2016. Prior to that he was registered with Network 1 Financial Securities from 1`2/2012-4/2016. Prior to that he was registered with Obsidian Financial (expelled from industry by FINRA 10/2013) and prior to that he was registered with QA3 Financial Corp.
FINRA records disclose that there are currently two customer disputes pending against James R. Bernthal.
- FINRA Case 15-3181- A customer alleges unsuitable transactions, unauthorized trading and failure to supervise. Damages are alleged to be $137,000.
- FINRA Case 15-1467- A customer alleges unsuitable transactions, breach of contract, fraud and churning. Damages are alleged to be $250,000.
If you have losses in an account handled by James Bernthal , contact us to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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