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James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment

FINRA barred former JP Morgan Securities and Raymond James Financial Services broker James Earl Mahan III for failing to cooperate with an investigation into his recommendation of an unapproved outside investment to a client.

FINRA AWC #2015047115101

The investigation states that in September 2015, JP Morgan filed paperwork terminating Mahan (CRD #5787176) for recommending an unapproved outside investment to a firm customer.

Similarly, Mahan's BrokerCheck report indicates that a customer dispute alleging damages in the amount of $101,000 also appeared in September 2015. The client alleged that Mahan solicited an unapproved investment between January and May 2015.

The record shows that after his separation from JP Morgan in May 2015, Mahan joined Raymond James, where he remained until the present industry ban in July 2016.

If you have invested with James Earl Mahan III or with any broker or financial adviser whose misconduct in soliciting an unapproved outside investment or whose selling away from the firm has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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