Did you incur investment losses with James Starks?
The Securities Law Firm of Menzer & Hill, P.A. is investigating claims involving James Starks formerly of Caldwell International Securities related to his alleged violation of FINRA rules.
Starks has been barred by FINRA.
Fortunately, for those investors that incurred losses investing with Starks may be able to recover those losses through the FINRA arbitration process.
Under FINRA rules and regulations, Broker-Dealers are responsible for supervising the actions of those advisors registered with their firm, and therefore may be held liable for the actions of their Broker(s).