JAMES FREDERICK SOWERWINE is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 404 NORTH 31ST STREET, STE 300, BILLINGS, MT, 59101-1211.
JAMES FREDERICK SOWERWINE has worked at RBC CAPITAL MARKETS, LLC since March 02, 1998
Disclosure History
JAMES FREDERICK SOWERWINE has 2 Disclosure Event(s).
Date: June 23, 2017 Category: Customer Dispute Allegations: Client alleges FA made unauthorized and unsuitable trades in Class A Mutual Funds and energy sector securities, in period 11/2011 to 2016. Damage Amount Requested: $280,834.00
Date: April 30, 2008 Category: Customer Dispute Allegations: THE CLIENT ALLEGES MR. SOWERWINE MISREPRESENTED THE ANNUITY THAT WAS RECOMMENDED TO HER IN NOVEMBER 2007. SEEKS TO BE MADE WHOLE. Damage Amount Requested: $16,000.00
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