Advisor Alert: Our Attorneys Are Investigating James Floyd Garraway III For Investment Fraud
Did You Lose Money Because of James (Trey) Garraway III?
Filed: February 19, 2024
James Garraway III (also known as Trey Garraway) has been the subject of two (2) regulatory events and one (1) termination event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on James Floyd Garraway III.
Who Is James Floyd Garraway III?
- Advisor Name: James Floyd Garraway III
- Aliases: James Floyd Garraway, Trey Garraway
- CRD: 7132872
- Location: Hattiesburg, Mississippi
- Current Employer: Currently Not Registered
- Previous Firms: Thrivent Investment Management Inc.
- Number of Known Regulatory Events: 2
- Number of Known Termination Events: 1
- Can James Garraway III Be Sued: Yes, in Private Arbitration
- Can James Garraway III’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: Unknown
- Highest Settlement: Unknown
If you have suffered investment losses by James Garraway III, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against James (Trey) Garraway III For Broker Misconduct
As of this publication date, James Garraway III has been the subject of 2 regulatory events and 1 termination event. Let’s review them below.
In July 2023, FINRA initiated a regulatory action against or in reference to James Garraway III for allegedly electronically signing customer names on approximately 101 forms associated with insurance and securities products without customer permission and signing a document for a customer with the customer’s permission.
In July 2023, FINRA initiated a regulatory action against or in reference to James Garraway III for allegedly electronically signing customer names on approximately 101 forms associated with insurance and securities products without customer permission.
In December 2021, Thrivent Investment Management Inc. terminated James Garraway III for failure to collect authentic client electronic signatures on certain client documents.
How To File A Claim Against James (Trey) Garraway III (previously with Thrivent Investment Management Inc.) To Get Your Money Back
If you have questions about James Garraway III, Thrivent Investment Management Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.