What Did Your Brokerage Firm or Investment Adviser Do Wrong With GWG
Published On: November 30, 2015

Stoltmann Law Offices is investigating James D. Belenis, a broker with KMS Financial Services in Davis, California. Belenis recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) in which he was fined $5,000 and suspended from associating with any FINRA member firm in any capacity for 20 business days. Belenis admitted that he assisted in raising capital for the limited liability company, yet answered “no” on a firm questionnaire as to whether he assisted in raising capital.

Belenis was registered with Edward Jones in Davis, California from April 1994 until March 2008 and Raymond James Financial in Davis from March 2008 until March 2013. He is currently registered with KMS Financial in Davis and has been since May 2013. He has five customer disputes against him, according to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report. If you lost money with James D. Belenis, please call our securities law firm at your earliest convenience. We may be able to help you bring a claim against him for investment fraud and help you recover your investment losses.

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