INVESTIGATION of JAMES ANDERSON of Ameritas Investment Corp.
James F. Anderson, formerly Ameritas Investment Corp., Barred from Securities Industry
Have you lost money with financial advisor James Anderson of Dakota Dunes, South Dakota? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James F. Anderson. FINRA barred Anderson from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Anderson for allegations that he induced an investor to invest in a promissory note without disclosing such to his brokerage firm, Ameritas Investment Corp.
James Anderson was a financial advisor and registered representative of Ameritas Investment Corp. from 2004 to February 2019. He worked at a branch office in Dakota Dunes, South Dakota; Lincoln, Nebraska; and West Des Moines, Iowa.
Brokerage firms like Ameritas Investment Corp. 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 Denver, Colorado and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in South Dakota, Nebraska, and Iowa. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Ameritas Investment Corp.
Click to view: Anderson, James BrokerCheck
Click to view: Anderson, James FINRA AWC
If you lost money with James Anderson or Ameritas Investment Corp., please CONTACT US at 720-599-3505 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.