Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that former New York-based LPL Financial broker/adviser James Zegers has received a pending customer dispute and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Zegers (CRD# 2559008).
James Zegers has spent 24 years in the securities industry and was most recently registered with LPL Financial in Albany, New York (2016-2018). Previous registrations include Voya Financial in Albany, New York (2003-2016) and Waddell & Reed in Overland Park, Kansas (1994-2003). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 28, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 30, 1994; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on January 16, 2004; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 30, 1994. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.
In January 2019 a customer alleged James Zegers, while employed at Voya Financial Advisors, failed to properly diversify the account, failed in his supervisory duties, breached contract, and acted negligently in connection with an investment in a Northstar real estate investment trust. The customer is seeking more than $119,000 in damages in the pending complaint.
In April 2018 a customer alleged James Zegers, while employed at Voya Financial Advisors, advised him that an investment in a real estate product had a guaranteed return of 8% annually. The customer sought $8,400 in damages in the complaint, which was denied.
If you or someone you know has a complaint regarding James Zegers, 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.