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.

For brokercheck report and additional info click here!

Alan Rosca (1225 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.