James M. Ham was barred from the securities industry by the Financial Industry Regulatory Authority (FINRA) for allegations that he solicited a customer to invest $170,000 in an undisclosed outside business activity. He also allegedly made transactions in a customer account 280 times without proper authorization from the customer. This was in October 2014 and he was fined $5,000 and suspended from the industry for 60 days. FINRA then barred him after he failed to pay the fine.
Ham was registered with Smith Barney, Harris Upham & Co. 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 Corp in New York, New York from June 1999 until April 2002, Butler Freeman Tally Financial Group in Bedford, Texas from April 2002 until November 2005 and First Independent Financial Services in Dallas, Texas from March 2006 until October 2014. He has two customer disputes against him. He is not currently licensed with any firm and has been permanently barred from the industry.
If you invested money with James M. Ham, you may be able to recover that money by calling our securities law office at 312-332-4200. We sue firms such as First Independent Financial Services for not reasonably supervising their registered representatives. The call is free.
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