JAMES CLAYTON MCCONNELL

JAMES CLAYTON MCCONNELL is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 515 NORTH 12TH STREET, MURRAY, KY, 42071.

JAMES CLAYTON MCCONNELL has worked at CETERA INVESTMENT SERVICES LLC since January 20, 2015

Disclosure History

JAMES CLAYTON MCCONNELL has 1 Disclosure Event(s).

Date: March 27, 2013
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT HE WAS TOLD THE ONLY WAY HE COULD LOSE PRINCIPLE WAS IF THE MUNICIPALITIES HE INVESTED IN DEFAULTED BUT THAT HE HAS LOST PRINCIPLE SINCE THE START OF THE INVESTMENT. CLIENT ALSO ALLEGES THAT HE WAS TOLD HE WOULD GET A 5% RETURN MONTHLY. CLIENT IS REQUESTING FOR HIS PRINCIPLE TO BE RETURNED.
Damage Amount Requested: $18,195.00
Settlement Amount: $11,197.77

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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