James Marino, formerly of Edward Jones, Barred from Securities Industry
Have you lost money with financial advisor James Marino of Pompano Beach, Florida? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James V. Marino. FINRA barred Marino from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Marino after he was terminated by his former brokerage firm, Edward Jones, for accepting a “gift” from a client and for using a client’s credit card for his own benefit.
James Marino was a financial advisor and registered representative of Edward Jones from July 2013 to November 2016. He worked at a branch office in Pompano Beach, Florida. Marino has been the subject of one customer complaint. The customer alleged that Marino stole money and is alleging damages of over $700,000.
Brokerage firms like Edward Jones have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle, Washington area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Florida. Attorney David Neuman is licensed to practice law in Florida. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Edward Jones.
Click to view: Marino, James FINRA AWC
Click to view: Marino, James BrokerCheck 8.4.17
If you lost money with James Marino or Edward Jones, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.