FINRA Revokes James Lamont's Securities Registration Investor Alert! The Financial Industry Regulatory Authority (“FINRA”) reports alarming information in regard to securities broker James Marten Lamont [CRD#: 2846228, San Francisco, California], who worked for securities firms Independent Financial Group (2006 to 2015) and Whitehall-Parker Securities (2015 to 2019). Evidently, FINRA revoked Lamont’s registration on March 13, […]

In an October 2nd, 2011, InvestmentNews.com article, Bruce Kelly writes that stockbrokers who sell products that promise high returns without the approval of their broker-dealers once again have become a leading concern for state securities regulators. This practice is known as “selling away,” and is one of the most common difficulties that independent and franchisee broker-dealers face in […]