10.0David P Neuman
(720) 599-3505

INVESTIGATION of Advisor JAMES KENNEDY – Madison, MS

SEARCH OUR BLOGS
29
Apr

INVESTIGATION of Advisor JAMES KENNEDY – Madison, MS

Posted by admin | 0 Comment
INVESTIGATION of Advisor JAMES KENNEDY – Madison, MS

James Kennedy, formerly with Woodbury Financial Services, Barred by FINRA

Have you lost money with financial advisor James Kennedy?  We are looking into allegations made about James Garland Kennedy, Jr. from Madison, Mississippi.  FINRA (the Financial Industry Regulatory Authority) barred Kennedy from the securities industry.  FINRA alleged that Kennedy has failed to adequately respond to its investigation, after he was terminated by his former brokerage firm, Woodbury Financial Services.  Woodbury allowed Kennedy to resign after he was alleged to have engaged in an unapproved outside business activity involving a financial transaction with a couple of clients.

James Kennedy was a financial advisor and registered representative of Woodbury Financial Services from 2007 to March 2020.  He worked in a branch office in Madison, Mississippi. 

Brokerage firms like Woodbury Financial Services 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; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan.  We represent investors in FINRA arbitration proceedings in all 50 states, including Mississippi. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Woodbury Financial Services.

IF YOU LOST MONEY WITH JAMES KENNEDY OR WOODBURY FINANCIAL SERVICES, 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.
10.0David P Neuman

FREE CASE EVALUATION

DENVER: (720) 599-3505

SEATTLE: (206) 795-5798


Copyright © 2020 Israels Neuman, PLC. All Rights Reserved | Sitemap