Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 1, 2016 indicate that former New Hampshire-based Voya Financial Advisors broker James Knee is currently not affiliated with any broker-dealer firm. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Knee (CRD# 1852920).
James Knee has spent 27 years in the securities industry and was most recently registered with Voya Financial Advisors in Concord, New Hampshire (2015-2016). Previous registrations include Ameriprise Financial Services in Concord, New Hampshire; Investors Capital in Concord, New Hampshire; Cambridge Investment Services in Concord, New Hampshire; Cantella & Company in Concord, New Hampshire; Raymond James Financial Services in St. Petersburg, Florida; Linsco/Private Ledger in Boston, Massachusetts; Invest Financial in Tampa, Florida; WH Newbold’s Son & Company/Hopper Soliday & Company; and Hopper Soliday & Company. He is currently not registered with any state or firm.
According to his BrokerCheck report, James Knee has received one customer complaint, is the subject of a pending regulatory investigation, and was recently discharged from Voya Financial Advisors.
In August 2016 James Knee was terminated from his position at Voya Financial Advisors following allegations of “failure to cooperate in an internal investigation relating to potential receipt by the representative of a cash gift from a customer.”
In August 2016 the State of New Hampshire named James Knee in an investigation into unknown allegations. The investigation remains pending.
In June 2015 a customer alleged James Knee, while employed at Ameriprise Financial Services, executed an unauthorized purchased of a royalty trust that “was a poor investment.” The complaint settled in December 2015 for $17,000.
If you have lost money investing with James Knee, you may be entitled to recover lost funds. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: Fitapelli Kurta only gets paid if and when you recover money. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.