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James William Forsythe, of New York, New York, a stockbroker formerly registered with Oppenheimer & Co. Inc., is the subject of a customer initiated investment related arbitration claim on December 29, 2016, where the customer requested $2,000,000.00 in damages based upon allegations that from January of 2011 to August of 2016, Forsythe placed unauthorized, excessive and unsuitable leveraged exchange traded funds and options transactions in the customer’s account.

Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Forsythe has been identified in five additional customer initiated investment related disputes containing allegations of his misconduct while employed with CIBC World Markets Corp. and Oppenheimer & Co. Inc. Particularly, on February 12, 1992, a customer was awarded $150,000.00 in damages according to an investment related arbitration claim based upon allegations against Forsythe of churning, suitability, and breach of fiduciary duty.

Subsequently, on April 30, 2004, a customer initiated investment related arbitration claim regarding Forsythe’s activities was resolved for $27,256.00 in damages based upon allegations that Forsythe made unsuitable investment recommendations to the customer. Further, on May 10, 2013, a customer initiated investment related written complaint involving Forsythe’s conduct was settled for $5,000.00 in damages based upon allegations that he failed to abide by the customer’s instructions to cancel an options account.

Guiliano Law Group

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