Close Menu
Free Consultation: 888-976-6111

$100K Complaint Against Ex-Western International Advisor James Mayes

Azusa, California financial advisor James Mayes (CRD# 2879995) recently received an investor complaint alleging misconduct related to corporate bond investments. Records provided by the Financial Industry Regulatory Authority indicate that he is currently a broker and an investment advisor with Alexander Capital, having previously been registered with Western International Securities.

Mr. Mayes’ brokerCheck report discloses one investor complaint. Filed in March 2023, it alleges that as a representative of Western International Securities, he misrepresented and recommended unsuitable alternative investments and corporate bond products. (Additional  information about FINRA Rule 2111, which requires financial advisors to “have a reasonable basis to believe that a recommended transaction or investment strategy” is suitable for their customers, is available here.) The pending complaint alleges damages of $100,000.

According to the Financial Industry Regulatory Authority, James Mayes holds 14 years of securities industry experience. Based in Azusa, California, he has been a broker and an investment advisor with Alexander Capital since June 2023. His registration history includes Western International Securities (Woodland Hills, California; 2017-2023), Financial West Group (Tarzana, California; 2013-2017 and Reno, Nevada; 2001-2002), First Allied Securities (San Diego, California; 2000-2001), Prime Pacific Financial Corporation (Irvine, California; 1998-2000), and Dean Witter Reynolds (Purchase, New York; 1997-1998). His credentials include the passage of four securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California, New York, and Utah. (Information current as of June 3, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Daniel Snover: PMV Advisor Faces $383K Complaint

    Addison, Texas financial advisor Daniel Snover (CRD# 5161189) recently received an investor complaint alleging his conduct resulted in losses exceeding...

    Read More
  • Jennifer Basey: $75K Complaint Against Stifel Nicolaus Advisor

    A recent investor complaint against Fort Myers financial advisor Jennifer Basey (CRD# 4730054) alleges that her advice resulted in losses....

    Read More
  • Mike Hensley: $100K Complaint Against Ex-Triad Advisor

    Raleigh, North Carolina financial advisor Mike Hensley (CRD# 4052660) allegedly made inadequate disclosures regarding an investment he recommended. Financial Industry...

    Read More
  • Evan Lunsford: Old National Advisor Lands Energy Notes Complaint

    Terre Haute, Indiana financial advisor Evan Lunsford (CRD# 5756621) has received multiple investor complaints alleging his conduct resulted in losses....

    Read More
  • Previous
  • Next