The following information is from FINRA’s website under “Disciplinary and Other FINRA Actions, March, 2013.”
Jim Eugene Scala Jr. (CRD #2493873, Registered Representative, Palm Harbor, Florida)
was fined $5,000 and suspended from association with any FINRA member in any capacity for 15 business days. FINRA gave Scala credit for serving a suspension imposed by his member firm while it investigated his private securities transactions. Without admitting or denying the findings, Scala consented to the described sanctions and to the entry of findings that he engaged in private securities transactions when he sold shares he owned in an alternative energy company to individuals that included customers of his firm. The findings stated that Scala was required to give his firm prior written notice and obtain prior written approval to sell his shares of the company and he failed to do so.
The suspension was in effect from February 19, 2013, through March 11, 2013. (FINRA Case #2011025846001)
It is listed on FINRA's BrokerCheck that Jim Eugene Scala Jr is currently employed by and registered with the following FINRA Firm(s):
DALTON STRATEGIC INVESTMENT SERVICES INC.
2690 CORAL LANDINGS BLVD
UNIT 728
PALM HARBOR, FL 34684
CRD# 23485
Registered with this firm since: 8/11/2010
Jim Scala was previously registered with FINRA at the following brokerage firms:
BROOKSTONE SECURITIES, INC.
CRD# 13366
LAKELAND, FL
06/2008 - 07/2010
BROOKSTONE SECURITIES, INC.
CRD# 13366
BOCA RATON, FL
03/2008 - 04/2008
GUNNALLEN FINANCIAL, INC
CRD# 17609
BOCA RATON, FL
02/2008 - 03/2008
This ends the information from FINRA’s website.
If you have experienced a financial loss due to your broker/financial advisor’s recommendations, call Soreide Law Group for a free consultation with an attorney at: 888-760-6552.
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