Broker Investigation: James Knee Permanently Barred by FINRA

Broker-Investigation--James-Knee- James Knee (CRD#: 1852920) is a previously registered securities broker. Most recently, he was employed at Vova Financial Advisors, Inc (2015-2016) in Concord, New Hampshire.

Before that, Mr. Knee was employed at Ameriprise Financial Services, Investors Capital Corp, and Cambridge Investment Research, also in Concord, NH.

On May 9th, 2018, the Financial Industry Regulatory Authority (FINRA) permanently barred James Knee from the securities industry. Here, our investment fraud attorneys provide an overview of the allegations against Mr. Knee.

All information that is included within this article comes directly from the Letters of Acceptance, Waiver, and Consent. For full details in this case, please refer to Disciplinary Proceeding No. 2016050984801.

 

Allegations Against Broker James Knee

Under FINRA Rule 8210, registered securities brokers are required to submit to on-the-record testimony when it is requested by regulators. In this case, testimony was requested after Mr. Knee was terminated from his position at Vova Financial Advisors following allegations of misconduct.

According to FINRA records, Mr. Knee failed to cooperate with his firm’s internal investigation related to the alleged misappropriation of customer funds. Without admitting or denying wrongdoing, James Knee accepted sanctions that included a permanent bar from associating with any securities industry member in any capacity.

 

Consult With an Experienced Investment Fraud Attorney

At Sonn Law Group, we have deep experience handling complex investment fraud and securities fraud claims. If you or a loved one has sustained major investment losses due to fraud or negligence, we are here to help. Please contact our law office today to set up a free initial consultation.

Disclaimer: This article contains opinions and NOT statements of fact in any way whatsoever. The information here is general information that should not be taken as legal advice. NO attorney-client relationship is established between you and our attorneys by reading this article. This article is attorney advertising and should not be used as a substitute for legal advice from a qualified securities lawyer.

 

Rate this post:

1 Star2 Stars3 Stars4 Stars5 Stars
(No Ratings Yet)
Loading...