James Orlow Maloney (CRD #1056257, South Colorado Springs, Colorado)
was assessed a deferred fine of $10,000 and suspended by FINRA for 10 months for allegedly selling equity-indexed annuities (EIAs) outside the scope of his employment with his member firm and without providing the firm any notice of the business activity.
FINRA's findings stated that Jim Maloney’s undisclosed EIA sales totaled approximately $8,284,390, and approximately $1,200,000 were related to sales to firm clients.
FINRA's findings also stated that Maloney falsely certified to the firm that he had not engaged in any undisclosed outside business activity.
The suspension is in effect from December 1, 2014, through September 30, 2015.
(FINRA Case #2013036521301)
James Orlow Maloney was registered in the securities industry for 30 years and was previously registered with the following securities firm(s):
07/1985 - 04/2013 METLIFE SECURITIES INC. (CRD# 14251) - COLORADO SPRINGS, CO
08/1982 - 07/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD# 4095) - GREENWOOD VILLAGE, CO
This summation was obtained on FINRA's website under "Disciplinary and Other Actions, January, 2015" and ends here.
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