WARNING! Impending Investigation: JAMES MAHAN and J.P. MORGAN SECURITIES
James Mahan and J.P. Morgan Securities
Have you lost money with financial advisor James Mahan of New Braunfels, Texas? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James E. Mahan III. FINRA barred Mahan from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Mahan regarding allegations that he sold investments without approval from his brokerage firm, J.P. Morgan Securities.
James Mahan was a financial advisor and registered representative of J.P. Morgan Securities from July 2013 to May 2015 and with Raymond James Financial Services from May 2015 to July 2016. He worked at a branch office in New Braunfels, Texas. Mahan has been the subject of at least one customer complaint. Mahan was also affiliated with South Texas Capital Advisors and South Texas Wealth Management.
Brokerage firms like J.P. Morgan Securities 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 the Seattle area. Our office handles all of our arbitration cases on a contingent fee basis, meaning you do not pay unless we recover money for you. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Texas. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.
Click to view: Mahan, James FINRA AWC
Click to view: Mahan, James BrokerCheck 7.25.16
HAVE YOU LOST MONEY WITH JAMES MAHAN OR J.P. MORGAN SECURITIES?
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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.