Securities Arbitration Lawyers BlogJames Edward Knee
James Edward Knee (CRD #1852920) is a former registered broker and investment advisor who was last employed with Voya Financial Advisors, Inc. (CRD #2882) of Concord, NH. He was previously employed by Ameriprise Financial Services, Inc. (CRD #6363), Investors Capital Corp. (CRD #30613) and Cambridge Investment Research, Inc. (CRD #39543), all of Concord. He has been in the industry since 1988.
Knee is the subject of nine disclosures. One is regarding his discharge from Voya Financial Advisors, one is an unknown pending investigation in the state of New Hampshire, and one is a regulatory action initiated by FINRA. Of the six customer disputes, three were denied and three were settled.
FINRA barred Knee on 05/18/2018 after he refused to appear for on-the-record testimony. He was the subject of allegations of funds misappropriation during his tenures with both Voya and Ameriprise. After signing an Acceptance, Waiver & Consent (AWC) letter, Knee was indefinitely barred in all capacities.