The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against James David Vavonese (CRD#
5411110) regarding allegations made regarding the following: Claim(s) Made Against James David Vavonese:
Claim Date: 12/18/2023
“The complainant alleges that the rep was not working in his best interest regarding a variable annuity and mutual funds that were sold to him beginning in 2021, and that he was given poor financial advice.”
This claim, as of this posting, is currently Pending.
See more information on
FINRA’s BrokerCheck site for James David Vavonese.
Did you have a negative experience with James David Vavonese?
The Securities Lawyers have recovered millions of dollars for investors across the United States and represent individuals and groups of investors who have suffered losses.These claims are typically resolved through FINRA Arbitration, as all brokerage firms embed binding arbitration clauses into their customer new account forms. (
What is the disadvantage of FINRA arbitration) If you were a customer of James David Vavonese and MML INVESTORS SERVICES, LLC and suffered investment losses, please contact the Securities Lawyers. We will only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It’s important to note that there may be time limits or statutes of limitations that apply to your claim, so it’s crucial to speak with an attorney as soon as possible.
If you were a customer of James David Vavonese and MML INVESTORS SERVICES, LLC from SYRACUSE, NY and had a similar issue or experience, we are interested in discussing a potential claim with you. Brokerage firms have a responsibility to supervise all representatives who are registered through their firm. (See our video,
Warning signs of a bad financial advisor). Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. The brokerage firm is not only legally responsible for the acts of its agents, like James David Vavonese, the broker dealer may also be liable for investment losses sustained by customers for a failure to supervise. The Securities Lawyers at Halling & Cayo, S.C. have recovered millions of dollars for investors across the country.
Contact The Securities Lawyers
Sean M. Sweeney is a shareholder at
Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.
He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.
Contact him at
(414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.