Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 30, 2018 indicate that New Jersey-based Hennion & Walsh broker/adviser James MacKenzie has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. MacKenzie (CRD# 2981415).
James MacKenzie has spent 20 years in the securities industry and has been registered with Hennion & Walsh in Parsippany, New Jersey since 2006. Previous registrations include JB Hanauer & Company in Parsippany, New Jersey (2002-2006); RBC Dain Rauscher in New York, New York (2002); Tucker Anthony in Boston, Massachusetts (1999-2002); and Gibraltar Securities in Florham Park, New Jersey (1998-1999). He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on June 15, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 2, 1998; and Series 7 (General Securities Representative Examination), which he obtained on February 5, 1998. He is a registered broker and investment adviser with 34 US states and territories: Arizona, Arkansas, California, Connecticut, Delaware, Florida, Georgia, Illinois, Iowa, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, South Carolina, Texas, Virginia, Washington, and West Virginia.
According to his BrokerCheck report, he has received one pending customer complaint.
In February 2018 a customer alleged James MacKenzie, while employed at Hennion & Walsh, recommended unsuitable investments in municipal bonds and mutual funds. The customer is seeking $160,000 in damages in the pending complaint.
If you have complaints regarding James MacKenzie, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recover your losses. All cases are taken on a contingency basis: we only get paid if and when you collect money. The law sets a limited window to file complaints, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.