August 2016-Winter Park, Florida
The FINRA records of Jamie D. Pope , a stock broker who has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public discloses a regulatory event and a termination.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Pope was permanently barred from the industry by FINRA in 11/2014 to resolve allegations that he converted customer funds provided to him for the express purposes of investing in one of Pope’s outside business activities.
Pope was discharged by Wilbanks Securities in 11/2013 for failure to disclose the investment by a client in his outside insurance business and failure to disclose a private real estate transaction with the client.
Pope was employed by Wilbanks Securities from 1/2011-11/2013. Prior to that he was employed by Allegiant Securities from 5/2009-12/2010.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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