James McCormick, Jr.—Termination from Member Firm and Customer Complaints

investment fraud attorney ClevelandJames McCormick, Jr. Investigated by FINRA Regarding His termination from Wells Fargo Advisors Financial Network, LLC and Two Customer Complaints

James McCormick, Jr. is facing a FINRA investigation regarding an investigation into the circumstances surrounding McCormick’s termination from Wells Fargo Advisors Financial Network, LLC and two customer complaints against him, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by Cleveland attorneys Alan Rosca and James Booker.

The Peiffer Rosca Wolf securities lawyers are currently investigating the circumstances regarding James McCormick, Jr.’s termination from Wells Fargo.

James McCormick, Jr. Barred by FINRA for Allegedly Refusing to Appear for On-the-record Testimony during an Investigation into His Termination from Wells Fargo and Two Customer Complaints

James McCormick, Jr. allegedly refused to appear for testimony at FINRA Staff’s request and purportedly stated that he would not cooperate with the Staff’s investigation, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

James McCormick, Jr., based on the aforementioned behavior, therefore violated FINRA Rules, and hence, McCormick has been barred by FINRA, the AWC notes.

It should also be noted that, according to the AWC, James McCormick, Jr. neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of customer complaints and are currently investigating James McCormick, Jr.’s refusal to appear for testimony related to his termination from Wells Fargo and several customer complaints. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of James McCormick, Jr.’s refusal to appear for testimony related to his termination from Wells Fargo and several customer complaints may contact the securities lawyers at the Cleveland office of Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1123 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.