JAMES JOSEPH KEARNEY is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES & ASSOCIATES, INC. located at 5847 SAN FELIPE, #4300, HOUSTON, TX, 77057.
JAMES JOSEPH KEARNEY has worked at RAYMOND JAMES & ASSOCIATES, INC. since February 13, 2013
Disclosure History
JAMES JOSEPH KEARNEY has 3 Disclosure Event(s).
Date: June 22, 2005 Category: Customer Dispute Allegations: CLAIM ALLEGES MISREPRESENTATION WITH REGARD TO THE PURCHASE OF H QUOTIENT, INC. DAMAGES ARE UNSPECIFIED BUT ARE BELIEVED TO BE APPROXIMATELY $7,700.00. Broker Comment: AS OF JUNE 25, 2007, THIS ITEM IS NO LONGER REPORTABLE.
Date: August 08, 2000 Category: Customer Dispute Allegations: CUSTOMERS ALLEGES SUITABILTY OF SUMMARY CORP. PURCHASE IN JULY 19, 1995. Damage Amount Requested: $18,000.00 Settlement Amount: $12,000.00
Date: July 09, 1991 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY, VIOLATION OF SEC10(B). FRAUD, DECEPTIVE TRADE PRACTICES, BREACH OF CONTRACT,AND NEGLIGENCE. $60,000.00 PULUS PUNITIVE DAMAGES OF$1,000,000.00. Damage Amount Requested: $60,000.00 Settlement Amount: $55,000.00 Broker Comment: COWEN SETTLED WITH CUSTOMERS FOR THE SUM OF$55,000.00 IN ORDER TO AVOID THE COSTS AND UNCERTAINTY OFLITIGATION. THE ALLEGATION SET FORTH IN THE STATEMENT OF CLAIMWERE AND ARE EXPRESSLY CONTESTED, DISPUTED AND DENIED. MR.KEARNEY DID NOT CONTRIBUTE TO THE SETTLEMENT.NOT PROVIDED
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