Articles Tagged with James Kennedy

James KennedyPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 21, 2017 indicate that former Illinois-based Securities America broker/adviser James Kennedy has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kennedy (CRD# 858829).

James Kennedy has spent 36 years in the securities industry and was most recently registered with Securities America in Lemont, Illinois (2015-2017). Previous registrations include Saxony Securities in Chicago, Illinois (2003-2015); Associated Investment Services in Green Bay, Wisconsin (1995-2002); Associated Investment Services in Chicago, Illinois (1986-1994); Bear Stearns & Company (1982-1984); Lehman Brothers Kuhn Loeb (1979-1982); and Dean Witter Reynolds (1978-1979). He has passed six securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 28, 1979; Series 3 (National Commodity Futures Examination), which he obtained on January 31, 1983; Series 7 (General Securities Representative Examination), which he obtained on October 21, 1978; Series 27 (Financial and Operations Principal Examination), which he obtained on July 31, 1987; Series 4 (Registered Options Principal Examination), which he obtained on January 27, 1987; and Series 24 (General Securities Principal Examination), which he obtained on March 6, 1986. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and one FINRA sanction, and he was discharged from his former employer in connection to alleged rule violations.

James KennedyTexas-based VSR Financial Services broker/adviser James Kennedy is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kennedy (CRD# 1961588).

James Kennedy has spent 26 years in the securities industry and has been registered with VSR Financial Services in Eastland, Texas since 1997. Previous registrations included Dominion Capital Corporation in Dallas, Texas (1995-1997); MONY Securities Corporation in New York, New York (1995-1997); MetLife Securities in New York, New York (1989-1995); and Metropolitan Life Insurance Company in New York, New York (1989-1995). He is a registered broker and investment adviser in seventeen US states and territories: Arizona, California, Colorado, the District of Columbia, Florida, Massachusetts, Michigan, Montana, Nevada, New Mexico, New York, Ohio, Oklahoma, Oregon, Texas, Utah, and Washington. Continue Reading