Articles Tagged with Rauscher Pierce Refsnes

Stoltmann Law Offices is investigating Gary Bradshaw, a financial advisor with First Dallas Securities. Bradshaw was accused of concentrating large portions of an elderly customer’s portfolio into risky oil and gas investments. Allegedly, by 2014, Bradshaw had concentrated over 100% of the client’s account into three oil and gas investments: CVR Partners, LP, Kinder Morgan, and Legacy Reserves LP. Due to the losses in oil and gas stocks, the customer suffered over $160,000 in losses to her retirement savings. In all, because of his unsuitable investment recommendations, the client suffered over $250,000 in losses. Advisors such as Bradshaw have a duty to only recommend those securities that are suitable for investors. The broker must take into account the client’s age, net worth, investment objectives, and other things before recommending and selling securities. If he does not, his brokerage firm can be responsible for losses.

Bradshaw was registered with Rauscher Pierce Refsnes in Dallas, Texas from August 1985 until March 1990 and is registered with First Dallas Securities Inc. in Dallas, Texas and has been since February 1990. He has one customer dispute against him. Please call our securities law offices in Chicago at 312-332-4200 to speak to an attorney about your options of suing First Dallas Securities for investment losses on a contingency fee basis in the FINRA arbitration process. The call is free with no obligation.

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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