National investment loss lawyers KlaymanToskes reports broker/investment advisor James Dale Warring (CRD# 3198200) has been terminated by DAI Securities, where he was registered from 2020 to 2023 in Rockville, MD. Warring is currently registered as an investment advisor with Eaglestone Wealth Advisors in Rockville, MD.
Investors that suffered losses with James Warring and/or any other broker at DAI Securities or Eaglestone Wealth Advisors may have recovery options. Contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or lklayman@klaymantoskes.com for a free consultation to discuss legal options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
According to FINRA BrokerCheck, James Dale Warring was discharged from DAI Securities on April 18th, 2023 due to “failing to report complaints from weeks of 9/5 and 9/12 2022”. The firm’s termination-related allegations regard a $4.5 million pending customer complaint filed against Eaglestone Wealth Advisors.
According to the pending complaint, Warring, “acting by and through his investment advisory firm, trust company and accounting business, engaged in conduct (or aided or abetted conduct) constituting fraud, constructive fraud, breach of fiduciary duty, violations of Maryland SAFE Act, and violations of the Maryland Securities Act. The conduct is alleged to have occurred between 2010 and 2022.”
Investors that suffered losses with James Warring and/or any other broker at Eaglestone Wealth Advisors or DAI Securities may have recovery options. Contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or lklayman@klaymantoskes.com for a free consultation to discuss legal options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national securities law firm which practices exclusively in the field of securities arbitration on behalf of retail and institutional investors throughout the world in large and complex securities matters. The firm has recovered more than $250 million for investors in FINRA arbitrations and over $350 million in other securities litigation matters for its clients. KlaymanToskes has office locations in California, Florida, New York, and Puerto Rico.
KlaymanToskes, P.A.
Lawrence L. Klayman, Esq.
888-997-9956
lklayman@klaymantoskes.com