JAMES STANLEY MCCARTHY is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 303 BROAD ST 1ST & 2ND FLS, RED BANK, NJ, 07701.
JAMES STANLEY MCCARTHY has worked at WELLS FARGO CLEARING SERVICES, LLC since May 15, 2001
Disclosure History
JAMES STANLEY MCCARTHY has 2 Disclosure Event(s).
Date: November 16, 2010 Category: Customer Dispute Allegations: THE ATTORNEY FOR THE CLIENT ALLEGES THE ADVISORY ACCOUNT PROGRAM HIS CLIENT ENROLLED IN WAS UNSUITABLE. (08/01/2007-01/31/2009)***ARBITRATION ALLEGATIONS: CLAIMANT, A RESIDENT OF NEW JERSEY, ALLEGES IN 2007 FA RECOMMENDED UNSUITABLE INVESTMENTS IN FUNDSOURCE. CLAIMANT IS SEEKING LOSSES OF $63,689.00. Damage Amount Requested: $63,689.00 Settlement Amount: $19,200.00 Broker Comment: WITHOUT ADMITTING ANY LIABILITY, THE FIRM SETTLED THE MATTER FOR $19,200 TO AVOID THE EXPENSE AND UNCERTAINTY OF ARBITRATION.
Date: March 16, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION ON PREFERRED EQUITY PURCHASE. (05/13/2008) Damage Amount Requested: $8,000.00 Broker Comment: FIRM AND FA DENY ALL ALLEGATIONS.
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