Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that Arizona-based Voya Financial Advisors broker/adviser James Underhill has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Underhill (CRD# 2848252).
James Underhill has spent 22 years in the securities industry and has been registered with Voya Financial Advisors in Tucson, Arizona since 2004. He was previously registered with Locust Street Securities in Des Moines, Iowa (1997-2004). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 13, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 6, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 8, 1998; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 5, 1997; and Series 24 (General Securities Principal Examination), which he obtained on December 19, 2001. He is a registered broker and investment adviser with 33 US states and territories.
According to his BrokerCheck report, he has received one customer complaint and one denied customer complaint.
In December 2018 a customer alleged James Underhill, while employed at Voya Financial Advisors, recommended a real estate investment trust that “was not what they were led to believe.” The customer sought unspecified damages in the complaint, which was denied.
In 2016 a customer alleged James Underhill, while employed at Voya Financial Advisors, recommended unsuitable investments, breached his fiduciary duties, committed fraud, and acted negligently. The complaint settled for $325,000.
If you or someone you know has a complaint regarding James Underhill, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.