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State Criminal Charges

James Knee, Ex-Voya and Ameriprise Broker, Barred from Securities Industry

On May 9, 2018, FINRA announced that it barred former securities broker James Knee from associating with firms registered with FINRA.  FINRA (Financial Industry Regulatory Authority, Inc.) registers and regulates securities brokers and brokerage firms. In a Letter of Acceptance, Waiver and Consent (AWC), FINRA stated it barred Knee because he declined to appear to

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LPL Financial Fined Up To $26 Million for Unregistered Securities Sales

On May 2, 2018, the North American Securities Administrators Association (NASAA)—the association of state, Canada, Mexico, and U.S. territory securities regulators—announced a settlement with LPL Financial LLC.  The settlement between the NASAA and LPL requires LPL to offer to repurchase certain unregistered securities it sold investors since October 2006 and to pay civil penalties that

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James Knee, Ex-Voya and Ameriprise Broker, Indicted on Theft and Fraud Charges

Update: James Knee barred from securities industry. On April 27, 2018, a grand jury in Merrimack County, New Hampshire returned an 11-count indictment against James Knee.  The indictment follows New Hampshire Department of Justice filing charges against Knee that include theft by deception, financial exploitation of the elderly, and investment advisor fraud. Knee was also

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