Robert S Jamison II Allegedly Referred Customers to an Individual who Was Not Registered and Who May Have Recommended or Sold Unsuitable Securities to Those Customers
Robert Jamison, in connection with private securities transactions, allegedly referred customers to an individual who was not registered and who may have recommended or sold unsuitable securities to those customers, according to a FINRA Letter of Acceptance, Waiver and Consent (AWC) under review by investor rights attorney Alan Rosca.
Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to Robert Jamison’s alleged participation in private securities transactions. Investors who believe they may have lost money in activity related to Robert Jamison’s alleged participation in private securities transactions are encouraged to contact attorney Alan Rosca with any useful information or for a free, no obligation discussion about their options.
Robert Jamison Barred by FINRA
Robert Jamison, based on the aforementioned alleged behavior, fell under the scope of a FINRA investigation, the AWC notes.
Jamison then allegedly refused to provide on-the-record testimony to FINRA related to allegations that he, in connection with private securities transactions, allegedly referred customers to an individual who was not registered, the AWC states.
Jamison entered the securities industry in 2010 when he became registered as a General Securities Representative through association with Valic Financial Advisors, Inc. in Atlanta, Georgia in August 6, 2010, FINRA states.
Jamison subsequently became associated with five different member firms until he joined Independent Financial Group, LLC in Salinas, California on September 8, 2016, and he voluntarily terminated his employment at IFG on May 30, 2017 before joining PNC Investments in Atlanta Georgia on June 16, 2017 where he remained until he voluntarily terminated his association on January 26, 2018, FINRA reports.
Jamison has not been employed in the securities industry since January 2018, but he remains subject to FINRA jurisdiction pursuant to Article V, Section 4 of FINRA’s By-Laws, FINRA notes.
Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints mentioned in this article, unless otherwise indicated, and that Robert Jamison reportedly consented to the FINRA settlement without admitting to or denying FINRA’s findings.
Securities Lawyer Investigating
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and are currently investigating Robert Jamison’s alleged participation in private securities transactions. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.
Investors who believe they lost money as a result of Robert Jamison’s alleged participation in private securities transactions may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.
