James Michael Ham—Refusal to Appear for Testimony, Allegedly Engaging in Undisclosed Outside Business Activities
James Michael Ham Allegedly Refused to Appear for Testimony Regarding an Investigation into a Customer Deposit of Approximately $170,000
James Michael Ham allegedly refused to appear for testimony regarding an investigation into a customer deposit of approximately $170,000, according to a recent FINRA Letter of Acceptance, Waiver and Consent (AWC).
FINRA also notes that it sent several letters and e-mails to Ham requesting that he appear for testimony, but that he allegedly refused to cooperate with the financial authorities, according to the AWC.
The Peiffer Rosca Wolf investor rights lawyers are currently investigating James Michael Ham, his alleged outside business activities, and his refusal to provide FINRA with testimony.
James Michael Ham Has Been Suspended by FINRA in All Capacities for 60 Days and Fined $5,000
As James Michael Ham allegedly failed to respond to repeated requests from FINRA to provide testimony, he violated FINRA Rules, the AWC notes.
As a result of the aforementioned and alleged malfeasance, Ham has been suspended by FINRA in all capacities for 60 days, and fined $5,000, according to the AWC.
Securities Lawyers Investigating
The Peiffer Rosca Wolf investor rights lawyers often represent investors who lose money as a result of outside business activity. They are currently investigating James Michael Ham for allegedly conducting outside business activities, and failing to provide FINRA with testimony. 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 Michael Ham for allegedly conducting outside business activities, and failing to provide FINRA with testimony may contact the investment rights lawyers at Peiffer Rosca Wolf, Alan Rosca or Joe Peiffer, for a free, no-obligation evaluation of their recovery options, at 888-998-0520.
Broker: James Michael Ham
Status: INVESTIGATED by Peiffer Rosca.
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