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

By August 6, 2016 September 20th, 2017 News

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.

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