Did you lose money with Lowell S. Wilson or John S. Jumper with Alluvion Securities? If so, please contact our securities law office at 312-332-4200 to speak to an attorney. We may be able to help you recover any financial losses you may have suffered with Wilson, Jumper, and their company, Alluvion Securities. We sue firms such as Alluvion Securities in the Financial Industry Regulatory Authority (FINRA) arbitration process for not adhering to industry standards and rules. The call is free with no obligation.
According to a disciplinary proceeding conducted by FINRA, from September 5, 2012 through October 8, 2013, Alluvion Securities failed to maintain required minimum net capital while conducting its securities business, through its Chief Executive and Compliance Officer, John Jumper, and its Chief Financial Officer and Operations Principal, Lowell Wilson. Jumper and Wilson are accused of failing to establish, enforce and maintain a supervisory system, including written supervisory procedures, designed to achieve compliance with the requirements of FINRA rules. Wilson was terminated from the firm on December 24, 2014. Wilson is no longer associated with any FINRA member firm. Jumper is currently registered with FINRA and associated with Alluvion.
The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.
PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.