10.0David P Neuman
(720) 599-3505

WARNING! Impending Investigation: JAMES M. HAM and FIRST INDEPENDENT FINANCIAL SERVICES, INC.

Tag Archives: First Independent Financial Services

16
Jun

WARNING! Impending Investigation: JAMES M. HAM and FIRST INDEPENDENT FINANCIAL SERVICES, INC.

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James M. Ham and First Independent Financial Services, Inc. Have you lost money with financial advisor James M. Ham of Dallas, Texas?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James Ham.  Ham was barred from the securities industry after he failed to respond to a FINRA investigation.  FINRA was ...

07
Aug

WARNING! Impending Investigation–JIM HAMMONS and FIRST INDEPENDENT FINANCIAL SERVICES

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Jim Hammons and First Independent Financial Services In a recent disciplinary action, the Oklahoma Department of Securities made allegations regarding Jim J. Hammons, a financial advisor from Tulsa.  The Oklahoma Department of Securities alleged that Hammons was a financial advisor and investment advisor.  Hammons solicited one of his investment advisory clients to invest in Reaction ...

10.0David P Neuman

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