Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Simpson (Simpson), previously associated with Equitable Advisors, LLC, has at least 3 disclosable events. These events include 2 customer complaints, one regulatory event, alleging that Simpson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 19, 2021.
Without admitting or denying the findings, Simpson consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with an investigation into whether he misappropriated client funds or made unsuitable recommendations.