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Former J.P. Morgan Securities broker, James E. Mahan, Permanently Barred for Failing to Cooperate with a FINRA Investigation

By August 6, 2016September 20th, 2017News

According to his Letter of Acceptance, Waiver and Consent (“AWC”) with FINRA, James E. Mahan was permanently barred from the securities industry for not cooperating with a FINRA investigation.  J.P. Morgan Securities initiated an internal review based on Mahan’s recommendation of an unapproved outside investment to a client of the firm from January 2015 to May 2015.  Following the review, his employment was terminated and FINRA began its investigation leading to AWC 2015047115101.

Based on his FINRA Broker Check report, Mahan was a broker with Raymond James in the interim period between his termination from J.P. Morgan Securities and permanent disbarment from the securities industry.

Fishman Haygood 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 lawyer today.

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