Articles Tagged with James Pettit

Former broker James Albert Pettit (CRD #733916), formerly of Ameriprise Financial Services, Inc. (CRD #6363), was barred by FINRA on 3/26/2018. This is the result of failing to comply with an arbitration award, and providing proof of the compliance. The bar is indefinite, and in all capacities until the award is paid.

Pettit is the subject of two FINRA regulatory actions and one by the state of Connecticut.

Pettit’s former employers include: