James Ham; First Independent Financial Services; Dallas, Texas

Stoltmann Law Offices is investigating James Ham, a former registered broker with First Independent Financial Services in Dallas, Texas. Mr. Ham was recently barred from the industry after he allegedly deposited a customer’s deposit of $170,000 into his own undisclosed outside business. He was also accused of making reallocations in the sub accounts of variable annuities owned by customers, without obtaining written authorization from the customers, made unauthorized discretionary transactions, and made unsuitable investment recommendations, among other things. These are all against securities laws.

According to his FINRA BrokerCheck report, Mr. Ham was registered with Smith Barney in New York, New York from September 1988 until January 1992, Rauscher Pierce Refsnes in Dallas, Texas from January 1992 until January 1997, Everen Securities in St. Louis, Missouri from January 1997 until June 1999, CIBC World Markets in New York, New York from June 1999 until April 2002, Butler Freeman Tally Financial in Bedford, Texas from April 2002 until November 2005 and First Independent Financial Services in Dallas from March 2006 until October 2014. He has two customer disputes against him and has been permanently barred from the industry. Please call our Chicago-based law firm today at 312-332-4200 to find out how you may be able to recover your investment losses on a contingency fee basis. The call is free with no obligation.