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WARNING! JAMES KNEE of VOYA FINANCIAL Charged with FRAUD

20
Apr

WARNING! JAMES KNEE of VOYA FINANCIAL Charged with FRAUD

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WARNING!  JAMES KNEE of VOYA FINANCIAL Charged with FRAUD

James Knee, formerly with Voya Financial Advisors and Ameriprise Financial Advisors Arrested and Charged with Theft and Fraud

 

Have you lost money with financial advisor James Knee of Concord, New Hampshire?  You may be able to recover your potential losses.

 

We are continuing our investigation into allegations made against James E. Knee, a former financial advisor with Voya Financial Advsiors and Ameriprise Financial Advisors.  In early March 2018, James Knee was arrested at Logan Airport in Boston after he tried to return to the country from Mexico.  He had previously fled to the Ukraine, after he faced charges for theft by application.  Knee now faces 11 counts of financial theft and fraud, for conduct occurring between 2014 and 2017, according to the New Hampshire Union Leader.

 

James Knee was previously the subject of a complaint made by the New Hampshire Securities BureauNew Hampshire alleged that a client wrote checks totaling $205,000 to Knee personally.  Knee contends that these were gifts, but the New Hampshire Securities Bureau had information that made it believe that this contention was incorrect.  New Hampshire is investigating this further.

 

James Knee was a financial advisor and registered representative of Voya Financial Advisors from November 2015 to August 2016.  He worked at a branch office in Concord, New Hampshire.  Knee also was affiliated with Ameriprise Financial Services from August 2012 to November 2012.  Knee currently has four customer complaints on his record.  One customer complained about a royalty trust called BPT.  Knee was also terminated by Voya Financial Advisors for a failure to cooperate in its internal investigation.

 

Brokerage firms like Voya Financial Advisors have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Ann Arbor, Michigan; Denver, Colorado; and Seattle, Washington.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Hampshire in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Voya Financial Advisors and Ameriprise Financial Services.

 

Click to view:  Knee, James New Hampshire Complaint

Click to view:  Knee, James BrokerCheck 10.10.16

 

If you lost money with James Knee or Voya Financial Advisors, or Ameriprise, please CONTACT US at 206-795-5798 for a free evaluation of your case.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.

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