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.
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.
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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