WARNING! James Knee from Concord, New Hampshire and Voya Financial Advisors
Have you lost money with financial advisor James Knee of Concord, New Hampshire? We are investigating allegations made by the New Hampshire Securities Bureau against James E. Knee. New Hampshire alleged that a client wrote checks totaling $205,000 to Knee personally. Knee contends that these were gifts, but the New Hampshire Securities Bureau had information that made it believe that this contention was incorrect. New Hampshire is investigating this further.
James Knee was a financial advisor and registered representative of Voya Financial Advisors from November 2015 to August 2016. He worked at a branch office in Concord, New Hampshire. Knee also was affiliated with Ameriprise Financial Services from August 2012 to November 2012. Knee currently has four customer complaints on his record. One customer complained about a royalty trust called BPT. Knee was also terminated by Voya Financial Advisors for a failure to cooperate in its internal investigation.
Brokerage firms like Voya Financial Advisors 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, Ann Arbor, Chicago, and the Seattle and Portland area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New Hampshire in the past. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Voya Financial Advisors and Ameriprise Financial Services.
Click to view: James Knee NH Complaint
Click to view: James Knee BrokerCheck 10.10.16
HAVE YOU LOST MONEY WITH JAMES KNEE OR VOYA FINANCIAL ADVISORS?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
Denver Office: (720) 599-3505
Seattle Office: (206) 795-5798
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.