Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 28, 2016 indicate that former Illinois-based UBS and Morgan Stanley broker James Rudwall is currently not licensed to act as a broker or an investment adviser. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rudwall (CRD# 1070818).
James Rudwall has spent 33 years in the securities industry and was most recently registered with Morgan Stanley in Chicago, Illinois (2016). He was previously registered with UBS Financial Services in Chicago, Illinois (2008-2016) and Merrill Lynch in Chicago, Illinois (1982-2008). He is currently not registered with any state or firm.
According to his BrokerCheck report, James Rudwall is the subject of one denied customer complaint and has left his position at UBS Financial Services.
In March 2016, James Rudwall voluntarily resigned from his position at UBS Financial Services while he was “under internal review for conduct that may have violated firm policies, including outside business activities involving a particular client; failing to escalate potential litigation risk to the firm associated therewith; inappropriate communications with third parties related thereto; and noncompliance with new account opening procedures.”
In 2005, a customer alleged that James Rudwall, while employed at Merrill Lynch, did not disclose the fees associated with an investment. The customer sought unspecified damages in the complaint, which was denied.
If you have lost money investing with James Rudwall, you may be able to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.