JAMES MICHAEL CARLILE at UMB FINANCIAL SERVICES, INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 6553249
JAMES MICHAEL CARLILE is an Investment Adviser, associated with UMB FINANCIAL SERVICES, INC. located at KANSAS CITY, MO. JAMES CARLILE’s Central Registration Depository (CRD) number is 6553249 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for JAMES CARLILE

    • Event Date: 4/20/2000
    • Disclosure Type: Criminal
    • Resolution: Final Disposition
    • Criminal Charges :: Charges: Theft 2nd
    • Disposition: Dismissed
    • Amended Charges: Dismissed
    • Amended Charge Type: OTHER
    • Amended Charge Disposition: Dismissed
    • Broker Comment: Falsely arrested for crime that I had no involvement or even knowledge. Formal charges not filed following arrest as once \evidence\ was requested case was immediatley dropped, with DA indicating police has acted without basis.
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Should I file a FINRA complaint against brokers like JAMES MICHAEL CARLILE?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by JAMES MICHAEL CARLILE’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About JAMES MICHAEL CARLILE

What is JAMES CARLILE's Central Registration Depository (CRD) Number?


Which firm is JAMES MICHAEL CARLILE associated with?


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Where can I find more details about JAMES CARLILE's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/17073 to read a detailed report for UMB FINANCIAL SERVICES, INC.

Are there any disclosures, allegations or complaints filed against JAMES MICHAEL CARLILE?

Yes. There are disclosures, allegations, or complaints filed against JAMES MICHAEL CARLILE. Click here to view all details

Where can I download a detailed FINRA report for JAMES CARLILE?

Click here to download a detailed FINRA report for JAMES CARLILE

Is it safe to do business with JAMES MICHAEL CARLILE?

We’re not sure. Please research JAMES CARLILE’s disclosures, allegations and complaints before taking a decision

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Originally posted on November 17, 2022 @ 9:04 pm

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