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Customer Alleged James Lyons Violated FINRA Rules

James LyonsPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 5, 2017 indicate that former Louisiana-based Raymond James & Associates broker/adviser James Lyons was discharged from his former employer in connection to alleged rule violations and is presently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lyons (CRD# 1020397).Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 5, 2017 indicate that former Louisiana-based Raymond James & Associates broker/adviser James Lyons was discharged from his former employer in connection to alleged rule violations and is presently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lyons (CRD# 1020397).

James Lyons has spent 34 years in the securities industry and was most recently registered with Raymond James & Associates in Shreveport, Louisiana (2013-2017). Previous registrations include Morgan Keegan & Company in Shreveport, Louisiana and Capitol Securities Group. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints, four pending customer complaints, and two customer complaints that were closed or denied.

In November 2017 a customer alleged James Lyons, while employed at Raymond James & Associates, breached contract, violated FINRA rules, breached state and federal securities laws, fraudulently and/or negligently misrepresented material facts, executed unauthorized trades, participated in fraudulent concealment, and over-concentrated investments. The customer is seeking $5,000,000 in damages in the pending complaint.
In October 2017  a customer alleged James Lyons, while employed at Morgan Keegan and Raymond James & Associates, breached his fiduciary duties, violated securities laws, and breached contract. The customer is seeking unspecified damages in the pending complaint.

In September 2017 a customer alleged James Lyons, while employed at Raymond James & Associates, executed unauthorized trades and recommended investments that performed poorly. The customer is seeking unspecified damages in the pending complaint.
In 2017 he was terminated from his position at Raymond James & Associates following allegations he executed unauthorized transactions.
In 2017 a customer alleged James Lyons, while employed at Raymond James & Associates, effected unauthorized transactions and recommended unsuitable products. The customer is seeking $800,000 in damages in the pending complaint.

In June 2017 a customer alleged he, while employed at Raymond James & Associates, effected unauthorized transactions and made unsuitable recommendations of mutual fund and other products. The customer is seeking $800,000 in damages in the pending complaint.
In 2016 a customer alleged he, while employed at Raymond James & Associates and Morgan Keegan, recommended unsuitable products, effected unauthorized transactions, breached his fiduciary duties, violated state and federal securities laws, fraudulently omitted material facts, and churned investments. The complaint settled for $400,000.

If you or someone you know has a complaint regarding James Lyons, 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.

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