JAMES TAYLOR MANN at UBS FINANCIAL SERVICES INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 2026758
JAMES TAYLOR MANN is an Investment Adviser, associated with UBS FINANCIAL SERVICES INC. located at SAN JOSE, CA. JAMES MANN’s Central Registration Depository (CRD) number is 2026758 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for JAMES MANN

    • Event Date: 8/31/2016
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Denied
    • Disclosure Detail :: Allegations: Time Frame: July 8, 2015 to January 20, 2016 The client alleges his Financial Advisor did not advise him of the risks associated with the investment as well as the limit of the investment related to the total asset.
    • Damage Amount Requested: $74,395.26
    • Arbitration Docket Number:
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Should I file a FINRA complaint against brokers like JAMES TAYLOR MANN?

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 TAYLOR MANN’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 TAYLOR MANN

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


Which firm is JAMES TAYLOR MANN associated with?


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

Visit https://brokercheck.finra.org/firm/summary/8174 to read a detailed report for UBS FINANCIAL SERVICES INC.

Are there any disclosures, allegations or complaints filed against JAMES TAYLOR MANN?

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

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

Click here to download a detailed FINRA report for JAMES MANN

Is it safe to do business with JAMES TAYLOR MANN?

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

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Originally reported on November 17, 2022 @ 9:01 pm

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