Suing James Roy for Securities Violations

Stoltmann Law Offices is investigating James Roy, a former investment advisor who was most recently registered with Raymond James & Associates in Houston, Texas. Mr. Roy was accused in multiple customer complaints of committing securities fraud and common law fraud, negligently misrepresenting material facts related to an investment, breaching fiduciary duty, engaging in unjust enrichment and performing fraudulent transfer and conveyance, among other things. All of these are against securities rules and regulations. According to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report, Roy was registered with Wachovia Securities in El Paso, Texas from October 2006 until October 2008, Morgan Keegan in Houston, Texas from October 2008 until February 2013 and Raymond James in Houston from February 2013 until June 2013. He is not currently registered with any member firm. He has two customer disputes against him, both of which are currently pending. Did you lose money with James Roy? If so, you might be able to sue his former firm, Raymond James, for your investment losses. They may be liable for them. We sue firms such as Raymond James in the FINRA arbitration process. The call to us to speak to one of our securities attorneys is free with no obligation. Please call soon as time is of the essence with these types of cases.