The Soreide Law Group has obtained the following summary of information from FINRA’s website, “Disciplinary and Other FINRA Actions, January, 2015.”
James Mark McLaughlin (CRD #1925099, Westover, Alabama)
was barred by FINRA for allegedly excessively trading in clients’ accounts.
FINRA's findings stated that McLaughlin recommended unsuitable short-term trading of A-share mutual funds in clients’ accounts, causing the clients to pay unnecessary mutual fund fees. McLaughlin received over $8,000 in commissions. McLaughlin did not have any reasonable basis to believe that the short-term trading of A-share mutual funds was suitable for his customers.
FINRA's findings also stated that McLaughlin engaged in unauthorized trading in customers’ accounts. (FINRA Case #2012034584301)
James Mark McLaughlin was registered in the securities industry for 23 years and was previously registered with the following securities firm(s):
10/2000 - 10/2012 SECURITIES AMERICA, INC. (CRD# 10205) - WESTOVER, AL
01/1996 - 10/2000 PRUDENTIAL SECURITIES INCORPORATED (CRD# 7471) - NEW YORK, NY
07/1993 - 01/1996 SMITH BARNEY INC. (CRD# 7059) - NEW YORK, NY
09/1989 - 07/1993 LEHMAN BROTHERS INC. (CRD# 7506) - NEW YORK, NY
The summary of information from FINRA's website ends here.
If you or a loved one have become a victim of unauthorized or excessive trading by your broker in you accounts, please contact Soreide Law Group for a free consultation with an attorney at 888-760-6552.
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