James Lyons, formerly with Raymond James & Associates, Barred from Securities Industry
Have you lost money with financial advisor James Lyons of Shreveport, Louisiana? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against James Edward Lyons. FINRA barred Lyons from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Lyons regarding allegations that engaged in unauthorized trading, after he was terminated by his former brokerage firm, Raymond James & Associates, for this alleged conduct.
James Lyons was a financial advisor and registered representative of Raymond James & Associates from February 2013 to May 2017. He also was affiliated with Morgan Keegan from 1993 to February 2013. He worked at a branch office in Shreveport, Louisiana. Lyons has also been the subject of eight customer complaints.
Brokerage firms like Raymond James & Associates 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; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Louisiana. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Raymond James & Associates.
Click to view: Lyons, James FINRA AWC
Click to view: Lyons, James BrokerCheck 6.5.18
If you lost money with James Lyons, or Raymond James & Associates, 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.