JAMES EDMUND DEVORE is currently employed as a Broker and/or Investment Adviser at ALLSTATE FINANCIAL SERVICES, LLC located at 32731 Egypt Ln Ste 703, The Woodlands, TX, 77354-3633.
JAMES EDMUND DEVORE has worked at ALLSTATE FINANCIAL SERVICES, LLC since December 05, 2005
Disclosure History
JAMES EDMUND DEVORE has 10 Disclosure Event(s).
Date: August 12, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGES HE INVESTED HIS MONEY WITH AXA BASED ON THE AGENT'S REPRESENTATION THAT HIS IRA FUNDS WOULD NOT BE INVESTED IN VARIABLE ANNUITITES. CLIENT IS REQUESTING THE FIRM TO INVESTIGATE THIS MATTER. DAMAGES UNSPECIFIED
Date: August 03, 2006 Category: Judgment / Lien Judgment/Lien Amount: $15,180.09 Judgment/Lien Type: Tax Broker Comment: LIEN RESULTED FROM OUTSTANDING DISPUTE. NEGOTIATION ARE IN FINAL PHASE SHOULD BE RESOLVED BY 12/31/2006
Date: July 06, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT AGENT SHOULD NOT HAVE PURCHASED B SHARES FOR HIS MUTUAL FUND PURCHASES. CLIENT FURTHER ALLEGES THAT THE AGENT NEVER SUGGESTED ANY CHANGES IN HIS PORTFOLIO AND THERE WAS NO DIVERSIFICATION AMONGST THE FAMILY OF FUNDS. CLIENT IS ASKING FOR $650,000 IN DAMAGES. Damage Amount Requested: $650,000.00 Broker Comment: PRIOR FIRM FOUND NO BASIS TO THE CUSTOMER'S COMPLAINT
Date: April 21, 2004 Category: Customer Dispute Allegations: CLIENTS ALLEGE MISREPRESENTATION, BREACH OF FIDUCIARY DUTY, AND THAT RESPONDENTS MADE UNSUITABLE RECOMMENDATIONS AND INVESTMENTS ON BEHALF OF THE CLAIMANTS. Damage Amount Requested: $500,000.00 Settlement Amount: $212,500.00 Broker Comment: THE ARBITRATION WAS SETTLED FOR $212,500.00 OF THAT AMOUNT, THE FIRM PAID $106,250.00 AND THE REGISTERED REPRESENTATIVE'S E&O CARRIER PAID $106,250.00 ON HIS BEHALF.
Date: April 01, 1998 Category: Judgment / Lien Judgment/Lien Amount: $10,559.00 Judgment/Lien Type: Tax Broker Comment: COMPANY FAILED TO PAY SALES TAX-ALLEGED THATI AS OWNER IS RESPONSIBLE - PAYMENT PLAN APPROVED BY ASST. ATTORNEY GENERAL OF TEXAS... TOTAL AMOUNT TO BE PAID IS NOW $29,408 DUE TO ACCRUED INTEREST ON THE TAX & PENALTIES. PAYMENT PLAN IS $1000 QTRLY COMMENCING 7/1/03 FOR A PERIOD OF 1 YR, THEN $1000/MO COMMENCING 7/1/04 UNTIL PAID. STATE WILL WAIVE $3,082 UPON SUCCESSFUL COMPLETION OF HIS PAYMENTS.
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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