Skip to main content

Broker James Knee, former Voya Financial Advisor, Consents to permanent bar by FINRA

James Knee (James Edward Knee) has consented to a sanction from FINRA (the Financial Industry Regulatory Authority). FINRA is a non-governmental regulator of securities firms that focuses on investor protection and market integrity through effective and efficient regulation of the securities industry. The attorneys of Fishman Haygood Investment Fraud Lawyers are currently investigating possible claims against stockbroker James Knee.

In May 2018 James Knee was barred by FINRA indefinitely from practicing as a broker. James Knee worked for Voya Financial Advisors in Concord, New Hampshire from 2015 to 2016.

James Knee was previously associated with Ameriprise Financial Services, Investors Capital Corp., and Cambridge Investment Research.

FINRA alleges that James Knee engaged in the following misconduct: he refused to appear for on-the-record testimony as requested by FINRA in connection with an investigation into allegations that he misappropriated customer funds while registered with two FINRA member firms.

In 2017 he settled a dispute in which the customer alleged that Knee had misrepresented the client’s financial picture in documentation.

James Knee has been the subject of at least 5 customer disputes.

If you invested money through James Knee, we would like to talk to you. Fishman Haygood Investment Fraud Lawyers are experienced securities litigators. We have helped hundreds of clients recover their losses that were due to broker fraud or negligence. Contact us today to discuss your options and receive a free consultation.

Fishman Haygood Investment Fraud Lawyers represents investors who have suffered investment losses in claims against their brokers or financial advisors. Our experienced attorneys have brought securities fraud cases in state and federal courts across the nation, as well as in FINRA arbitration. We work to help investors recoup their losses.

Of course, all cases are different. For that reason, we analyze each client’s matter individually and provide our personalized evaluation only after considering all of the facts and circumstances of all possible claims. If you or someone you know is the victim of securities fraud, please contact a Fishman Haygood Investment Fraud lawyer today.

GWG Holdings Files for Bankruptcy: How Might That Impact L Bond Investors?