Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 17, 2018 indicate that former Georgia-based Edward Jones broker/adviser James Walters was terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walters (CRD# 5943354).
James Walters has spent six years in the securities industry and was registered with Edward Jones in Macon, Georgia from 2011-2018. He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 26, 2011, and Series 7 (General Securities Representative Examination), which he obtained on September 1, 2011. He is currently not registered with any state or firm.
According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.
In April 2018 he was terminated from his position at Edward Jones following allegations he made withdrawals from the account of a family member without that person’s knowledge and “used a portion of those funds for his own benefit.” For reference, FINRA Rule 2010 requires all FINRA members to “observe high standards of commercial honor and just and equitable principles of trade.” They are forbidden, for instance, from making unauthorized transactions within a customer account (with a few exceptions, such as in margin accounts).
If you or someone you know has lost money investing with James Walters, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.