James Earl Mahan a.k.a. James Earl Mahan III—Unapproved Outside Investment

Rochester stockbroker fraud attorneyJames Earl Mahan, a.k.a. James Earl Mahan III, Allegedly Recommended an Unapproved Outside Investment to a JP Morgan Client

James Earl Mahan, a.k.a. James Earl Mahan III, allegedly recommended an unapproved outside investment to a JP Morgan Client, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC) currently under review by Peiffer Rosca Wolf attorneys Alan Rosca and James Booker.

JP Morgan, on September 25, 2015, allegedly filed an amended Uniform Termination Notice for Securities Industry Registration reporting that Mahan was wider under internal review for the aforementioned alleged behavior, the AWC also notes.

The Peiffer Rosca Wolf securities lawyers are currently investigating James Earl Mahan’s alleged unapproved outside investment to a firm client.

James Earl Mahan Barred by FINRA for Refusing to Appear for On-the-record Testimony Regarding an Investigation Related to an Internal JP Morgan Review

James Earl Mahan, a.k.a. James Earl Mahan III, allegedly received calls and letters from FINRA requesting that he appear for on-the-record testimony, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.

James Earl Mahan allegedly refused to appear for said testimony and hence violated FINRA Rules, the AWC goes on to note. As a result of said behavior, Mahan has been barred by FINRA, the AWC reports.

One should also note that, according to the AWC, James Earl Mahan neither admitted nor denied the FINRA findings.

Securities Lawyers Investigating

The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged unauthorized recommendations and are currently investigating James Earl Mahan’s alleged unapproved outside investment to a firm client. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.

Investors who believe they lost money as a result of James Earl Mahan’s alleged outside business activity may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.

Alan Rosca (1163 Posts)

Alan is a securities lawyer. He also teaches Securities Regulation at the Cleveland-Marshall College of Law. He focuses his legal practice on complex commercial and financial litigation and arbitration, particularly in the areas of securities and investment fraud. His office is in Cleveland, Ohio.


In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow cases about which we report, and/or to publish subsequent blogs regarding various developments that may occur in such cases. Readers are encouraged to conduct their own research regarding any such cases and any developments that may or may not have occurred in such cases.