Broker JIM KNEE, Formerly with Ameriprise and Voya, Barred by FINRA

JAMES EDWARD KNEE (JIM KNEE) CRD#: 1852920 has been barred by the Financial Industry Regulatory Authority Inc. (FINRA) for allegedly failing to take part in a FINRA hearing regarding his activities at his former employers, Ameriprise Financial Services and Voya Financial Advisors, both located in Concord, New Hampshire.
According to FINRA, these allegations stemmed from an investigation into JIM KNEE misappropriating client funds while registered with the two firms.
According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, JIM KNEE, has 7 Disclosures on his report.  Of the 7 Disclosures, 5 are listed as ‘Customer Disputes.’ Also on his report is an, ‘Employment Separation After Allegations’ dated 8/18/2016 from Voya Financial Advisors.  Knee was discharged from Voya following their allegations of, “failure to cooperate in an internal investigation relating to potential receipt by the representative of a cash gift from a customer.”
Knee began his securities career in 1988 at Hopper Soliday & Co.
JIM KNEE was registered in the securities industry for 27 years and was listed with 10 firms, the 3 most recent are listed below:
11/02/2015 - 08/25/2016  VOYA FINANCIAL ADVISORS, INC - CONCORD, NH
08/31/2012 - 11/11/2015  AMERIPRISE FINANCIAL SERVICES, INC - CONCORD, NH
12/21/2009 - 09/27/2012  INVESTORS CAPITAL CORP - CONCORD, NH 
If you suffered investment losses due to the recommendations or actions of former broker, Jim Knee, formerly with Voya and Ameriprise of Concord, New Hampshire, contact Soreide Law Group and speak at no cost to an experienced securities lawyer regarding the possible recovery of your financial losses through a FINRA arbitration at:  888-760-6552.
Soreide Law Group represents our clients nationally before FINRA.  We operate on a contingency fee basis, no fee to you if no recovery.