James Edward Knee (Jim Knee) Fired by Voya Financial Advisors, Inc. - Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses - James Edward Knee (Jim Knee) Fired by Voya Financial Advisors, Inc.

From 2015 until Jim Knee’s firing in 2016, Jim Knee was licensed with Voya Financial Advisors, Inc. Jim Knee was previously licensed with Ameriprise Financial Services, Inc. and Investors Capital Corp. According to FINRA’s records, Jim Knee was fired by Voya Financial Advisors, Inc. on August 18, 2016. Voya Financial Advisors reported to FINRA that Jim Knee was accused of failing to cooperate in an internal investigation relating to potential receipt by the representative of a cash gift from a customer.

FINRA reports that two complaints involving Jim Knee’s conduct with Voya Financial Advisors, Inc. and/or Ameriprise Financial Services, Inc. were filed, alleging the purchase of a royalty trust was a poor investment and unauthorized and/or allegations that some information on a customer signed document was not on the document when the customer signed it and is not an accurate representation of the customer’s financial picture. These two complaints both settled. 

FINRA also reports that the State of New Hampshire has initiated an ongoing formal investigation relating to Jim Knee’s conduct.

If you lost any money on investments with Jim Knee, you may be able to recover your losses from Voya Financial Advisors, Inc., Ameriprise Financial Services, Inc. and/or Investors Capital Corp. This is because Voya Financial Advisors, Inc., Ameriprise Financial Services, Inc. and/or Investors Capital Corp. had a duty to supervise Jim Knee.

If you lost money on investments with Jim Knee, and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against Voya Financial Advisors, Inc., Ameriprise Financial Services, Inc. and/or Investors Capital Corp. concerning Jim Knee’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $170 million on behalf of victimized investors. If you lost money on investments with Jim Knee, and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.

 

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