Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 14, 2016 indicate that former Wisconsin-based NYLife Securities broker James Kolf has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kolf (CRD# 1015682).
James Kolf has spent 34 years in the securities industry and was most recently registered with NYLife Securities in Madison, Wisconsin (2016). Previous registrations include MetLife Securities in Middleton, Wisconsin; New England Securities in Middleton, Wisconsin; Signator Investors in Madison, Wisconsin; and John Hancock Mutual Life Insurance Company in Boston, Massachusetts. He is currently not registered with any state or firm.
According to his BrokerCheck report, James Kolf has been sanctioned by FINRA.