Category Archives: Butler Freeman Tally Financial

First Independent Financial Services Broker Sanctioned by Regulators-Dallas

June 12, 2015

James Michael Ham  entered into a Letter of Acceptance Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he refused to appear for testimony in a FINRA investigation into the circumstances surrounding a firm customer’s deposit of $170,000 into Ham’s undisclosed outside business.

Ham  was barred from association with any FINRA member in any capacity.

Disciplinary Proceeding NO. 2015045425201

According to FINRA records, Ham was registered with First Independent Financial Services in Dallas, TX, from 3/2006-10/2014. Before that he was registered with Butler Freeman Tally Financial Group. in Bedford, TX, from 4/2002-11/2005.

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