James Warren Vassas (CRD#4487594)

The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against James Warren Vassas (CRD#4487594) regarding allegations made regarding the following:

Claim(s) Made Against James Warren Vassas:

Claim Date: 12/7/2018

“Clients allege that in 2014 – May 2, 2017, their accounts were poorly managed and inappropriately invested in highly-leveraged alternative investments of exchange trade funds (ETFs) and exchange traded notes (ETNs).”

This claim, as of this posting, is currently Settled with a claim amount of $115,000.00 .

The investor was paid $37,500.00 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for James Warren Vassas.

Did you have a negative experience with James Warren Vassas?

Millions of dollars are lost each year by investors due to breaches of duty by their brokers or the firms they work for, we help investors recover that money. If you were a customer of James Warren Vassas and experienced investment losses, please contact the Securities Lawyers. (See more detail in our video, What are the most common securities cases?.) We only receive payment if we are able to recover your money, and you may be eligible for financial compensation. It is important to note that there may be time limits or statutes of limitations that apply to your claim, so it is crucial to speak with an attorney as soon as possible.

If you had a negative experience or issue with James Warren Vassas, the Securities Lawyers at Halling & Cayo, S.C. may be able to help you. Brokerage firms have a duty to supervise all registered representatives, such as James Warren Vassas, and ensure that they follow all securities rules and regulations and internal policies. Liability for the losses sustained by its customers extends to the Brokerage Firm that the broker was registered with at the time of the breach of his/her standard of care. (We explain in more detail in our video, Do you dare sue your broker?.)


Contact The Securities Lawyers

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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.