James Emory Poe (CRD #5085362, Benbrook, Texas)
was assessed a deferred fine of $775,000, which included the disgorgement of financial benefits received of $686,230, plus interest, and was suspended by FINRA for two years for alleged failure to provide prior written notice to or receive written approval from his member firm regarding his roles with two hedge funds, his planned participation or his expected compensation.
FINRA's findings stated that James Poe structured and sold investments in life settlements for approximately $2.25 million. Poe received compensation in the form of management fees. He failed to provide prior written notice to or receive written approval from his firm regarding his role, his planned participation, or his expected compensation.
James Poe participated in private securities transactions with the hedge funds and by selling investments in life settlements. Poe failed to provide prior written notice of these activities to his firm and did not receive the firm’s written approval of them. Poe received compensation from engaging in the private securities transactions.
FINRA's findings also stated that Poe failed to respond in a timely manner to FINRA requests for information or documents regarding, among other things, his participation in the hedge funds.
The suspension is in effect from November 3, 2014, through November 2, 2016. (FINRA Case #2013036824401)
James E Poe was previously registered with the following securities firm:
06/2008 - 10/2012 FOX FINANCIAL MANAGEMENT CORPORATION (CRD# 134277) - FORT WORTH, TX
This summation of information is from FINRA’s website under "Disciplinary and Other FINRA Actions, December 2014," ends here.
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