Articles Tagged with Harris Upham Co

Stoltmann Law Offices is investigating Robert Child, a National Securities Corporation broker and investment adviser. He is alleged to have not made suitable recommendations, being negligent, breaching fiduciary duty and misrepresenting. The customers who brought claims against him are requesting over $2.7 million in damages. If you or someone you know lost money with Robert Child, you may have a possible claim against National Securities Corporation. We sue firms such as these in the Financial Industry Regulatory Authority (FINRA) arbitration forum to recover money for investors on a contingency fee basis. The call is free with no obligation so please call today. 312-332-4200.

According to his online FINRA BrokerCheck report, Child was registered with JB Hanauer & Co., Smith Barney, Harris Upham & Co., EF Hutton & Co., Shearson Lehman Hutton Inc., Prudential Securities Inc., UBS Painewebber, and VFinance Investments in Boca Raton, Florida from August 2001 until December 2012. He is currently registered with National Securities Corp in Boca Raton and has been since November 2012. He has 13 customer disputes against him, three of which are currently pending.

Did you lose money with Robert Child of National Securities? If so, the securities attorneys at Stoltmann Law Offices are interested in speaking with you about your options of suing National Securities in the Financial Industry Regulatory Authority (FINRA) arbitration forum. We sue firms on a contingency fee basis so we only make money if you recover yours. National Securities has a duty to reasonably supervise Robert Child, and, if the firm does not, can be held liable for investment losses. Please call 312-332-4200 today. The call is free with no obligation.

Child is accused of making unsuitable investment recommendations, acting negligently, breaching fiduciary duty, and misrepresenting material facts, among other things. These are all against securities rules and regulations. Child was registered with JB Hanauer & Co., Smith Barney, Harris Upham & Co., EF Hutton & Co., Shearson Lehman Hutton, Prudential Securities, UBS Painewebber, and VFinance Investments. He is currently registered with National Securities Corp in Boca Raton, Florida and has been since November 2012. He has 13 customer complaints against him, three of which are currently pending.

James M. Ham was barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) for allegations that he solicited a customer to invest $170,000 in an undisclosed outside business activity. He also allegedly made transactions in a customer account 280 times without proper authorization from the customer. This was in October 2014 and he was fined $5,000 and suspended from the industry for 60 days. FINRA then barred him after he failed to pay the fine.

Ham was registered with Smith Barney, Harris Upham & Co. in New York, New York from September 1988 until January 1992, Rauscher Pierce Refsnes in Dallas, Texas from January 1992 until January 1997, Everen Securities in St. Louis, Missouri from January 1997 until June 1999, CIBC World Markets Corp in New York, New York from June 1999 until April 2002, Butler Freeman Tally Financial Group in Bedford, Texas from April 2002 until November 2005 and First Independent Financial Services in Dallas, Texas from March 2006 until October 2014. He has two customer disputes against him. He is not currently licensed with any firm and has been permanently barred from the industry.

If you invested money with James M. Ham, you may be able to recover that money by calling our securities law office at 312-332-4200. We sue firms such as First Independent Financial Services for not reasonably supervising their registered representatives. The call is free.

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