JAMES MICHAEL WINNER is currently employed as a Broker and/or Investment Adviser at JANNEY MONTGOMERY SCOTT LLC located at 116 Hays Street, BEL AIR, MD, 21014.
JAMES MICHAEL WINNER has worked at JANNEY MONTGOMERY SCOTT LLC since November 03, 2015
JAMES MICHAEL WINNER has 2 Disclosure Event(s).
Date: May 26, 1999 Category: Customer Dispute Allegations: CUSTOMER THROUGH CONSERVATOR`S COUNSEL ALLEGED UNSUITABLE,UNAUTHORIZED AND AND EXCESSIVE TRADING, ALLEGE TOTAL DAMAGES OF $860,000. Damage Amount Requested: $860,000.00 Damages Granted: $200,000.00 Broker Comment: THE ARBITRATION PANEL FOUND THAT THE DISPUTE AROSE FROM THE MUTUAL FAILURES OF BOTH THE CLAIMANT CONSERVATOR AND THE RESPONDENTS. OF THE MORE THAN $860,000 IN DAMAGES REQUESTED, THE PANEL AWARDED $200,000. THE PANEL DENIED ALLDAMANDS FOR PUNITIVE DAMAGES, PRE-JUDGEMENT INTEREST,COSTS, AND ALL OTHER CLAIMS. THE CLAIMS ARE WITHOUT BASIS AND COMPLETELY LACKING THE MOST BASIC FACTUAL SUPPORT. CUSTOMER,THE CONSERVATOR,PARTICIPATED IN ALL INVESTMENT DECISIONS AND AFFIRMATIVELY CONSENTED TO MY RECOMMENDATIONS. IN FACT CUSTOMER ACKNOWLEDGED IN WRITING TO OUR COMPLIANCE DEPARTMENT THAT THE ACTIVITY IN THE ACCOUNT MATCHED CUSTOMER'S INVESTMENT OBJECTIVES AND THAT SHE WAS RECEIVING CONFIRMATIONS AND MONTHLY STATEMENTS. THE ALLEGED DAMAGES ARE ALSO GROSSLY INACCURATE.
Date: February 02, 1999 Category: Customer Dispute Allegations: CUSTOMERS ALLEGED UNAUTHORIZED TRADES ANDMISREPRESENTATIONS OF RISK. ALLEGED TOTAL DAMAGES OFAPPROXIMATELY $121,000. Damage Amount Requested: $121,000.00 Broker Comment: AFTER AN INTERNAL INVESTIGATION, THE COMPLAINTWAS FOUND TO BE ENTIRELY WITHOUT MERIT AND WAS DENIED IN ITSENTIRETY.CUSTOMER AND HIS ACCOUNTANT PARTICIPATED IN ALLINVESTMENT DECISIONS AND AFFIRMATIVELY CONSENTED TO MYRECOMMENDATIONS AND STRATEGY. ALSO, THE ALLEGED DAMAGES AREGROSSLY EXAGGERATED.
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