John Jumper, formerly of Alluvion Securities, Barred by FINRA
Have you lost money with financial advisor John Jumper of Memphis, Tennessee? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against John S. Jumper. FINRA barred Jumper after he failed to respond to an investigation regarding allegations that he misappropriated funds from a pension plan.
John Jumper was a financial advisor and registered representative of Alluvion Securities from September 2007 to February 2017. He worked at a branch office in Memphis, Tennessee. Jumper has been the subject of two other regulatory actions, and Jumper was the CEO, CFO, and Chief Compliance Officer of Alluvion Securities.
Brokerage firms like Alluvion Securities 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 area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Tennessee, as well as investors from the Memphis area. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Jumper, John FINRA AWC
Click to view: Jumper, John BrokerCheck 2.6.17
IF YOU LOST MONEY WITH JOHN JUMPER OR ALLUVION SECURITIES, 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.