PALM DESERT, CALIFORNIA
Have you lost money with financial advisor James M. Casey (CRD# 1791115), formerly of Purshe Kaplan Sterling Investments, in Palm Desert, California? We are investigating allegations of former customers related to James Casey. James Casey has been the subject of numerous customer complaints, alleging that he has made unsuitable investment recommendations, including purported investments in an entity called Team Jupiter.
James Casey was a registered representative of Purshe Kaplan Sterling Investments from August 2010 to May 2017. Casey worked in offices in Palm Desert, California. Casey was also criminally charged in 2015.
Brokerage firms like Purshe Kaplan Sterling Investments have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Purshe Kaplan Sterling Investments.