James Frederick Alioto (CRD#827086) and RAYMOND JAMES & ASSOCIATES, INC.

We help investors recover losses

Any previous customer complaints are made publicly available by FINRA. Reviewing these reports can help investors understand the regulatory history of their financial professionals.

Our securities attorneys are seeking to speak with former customers regarding potential investment-related claims. If you have concerns about securities sold to you by this broker, contact Halling & Cayo, S.C. today.

Claim(s) Made Against James Frederick Alioto:

Claim Date: 3/3/2026

“Individuals who would not sign account agreements complain that their accounts did not receive funds that a third individual told them that he sent, and allege that FA must have taken them. Allegation activity dates: 2/25/2025 through 9/2/2025.”

This claim, as of this posting, is currently Denied with a claim amount of $10,000.00 .

See more information on FINRA’s BrokerCheck site for James Frederick Alioto.

Did you have an investment issue with James Frederick Alioto?

The investment recovery lawyers at Halling & Cayo S.C. bring claims on behalf of individual investors or groups of investors who have lost funds. Most of these customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. (See our discussion of FINRA in our video, Is FINRA a good thing?.) As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of James Frederick Alioto and RAYMOND JAMES & ASSOCIATES, INC. and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

If you were a customer of James Frederick Alioto and RAYMOND JAMES & ASSOCIATES, INC. from Waukesha, WI and had a similar issue or experience as those described in the above public postings, 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 Frederick Alioto, 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.

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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.

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