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