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Former Voya Financial Services and Ameriprise Financial Advisors Broker Consents to Permanent Ban with FINRA from the Securities Industry

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 Investment Fraud Lawyers are currently investigating possible claims against stockbroker James Knee.

In May 2018 James Knee was barred permanently from practicing as a broker. James Knee worked for Voya Financial Advisors, Inc. in Concord, New Hampshire from November 2015 to August 2016.

James Knee was previously associated with at least 10 different broker-dealers since entering the securities industry in 1988. Other than Voya, most recently he was associated with Ameriprise Financial Services, Inc. from August 2012 to October 2015.

FINRA alleges that James Knee engaged in the following misconduct: failed to appear for on-the-record testimony with FINRA in connection with an ongoing FINRA investigation that he misappropriated customer funds .

James Knee was fired by Voya Financial Advisors in August 2016 after he failed to cooperate in an internal investigation relating to potential receipt of cash gift from a customer.

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 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 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.

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