Robert Jamison, formerly with PNC Investments and Independent Financial Group, Barred from Securities Industry
Have you lost money with financial advisor Robert Jamison of Atlanta, Georgia? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Robert S. Jamison, II. FINRA barred Robert Jamison from the securities industry after he failed to fully respond to a FINRA investigation. FINRA was investigating Robert Jamison after he was alleged to have referred customers to an individual who was not registered to sell securities, and who may have recommended unsuitable investments to customers.
Robert Jamison was a financial advisor and registered representative of PNC Investments from June 2017 to January 2018. He also was affiliated with Independent Financial Group from September 2016 to May 2017. He worked at branch offices in Atlanta, Georgia.
Brokerage firms like PNC Investments and Independent Financial Group 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 Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Georgia and the Atlanta area. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Independent Financial Group.
Click to view: Jamison, Robert 12.14.18
Click to view: Jamison, Robert BrokerCheck 12.14.18
If you lost money with Robert Jamison, Independent Financial Group, or PNC Investments, please CONTACT US at 720-599-3505 for a free evaluation of your case.