Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 14, 2018 indicate that Maryland-based Independent Financial Group broker/adviser James Chang has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Chang (CRD# 4536266).
James Chang has spent 16 years in the securities industry and has been registered with Independent Financial Group in Rockville, Maryland since 2012. Previous registrations include Ameritas Investment Corporation in Rockville, Maryland (2004-2012); AXA Advisors in New York, New York (2003-2004); and PFS Investments in Duluth, Georgia (2002-2003). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 2, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 2, 2002; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 16, 2003; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 11, 2002; and Series 24 (General Securities Principal Examination), which he obtained on September 25, 2006. He is a registered broker and investment adviser with 14 US states and territories: California, Delaware, the District of Columbia, Florida, Hawaii, Illinois, Maryland, Michigan, Mississippi, Nevada, New York, Pennsylvania, Texas, and Virginia.
According to his BrokerCheck report, he has received two pending customer complaints.
In October 2018 a customer alleged James Chang, while employed at Independent Financial Group, over-concentrated unsuitable non-traded real estate investment trusts in the account, resulting in losses. The customer is seeking $50,000 in damages in the pending complaint.
In September 2018 a customer alleged James Chang, while employed at Ameritas Investment Corporation, misrepresented and recommended unsuitable real estate investment trusts. The customer is seeking $75,000 in damages in the pending complaint.
If you or someone you know has a complaint regarding James Chang, 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.