James Couture – Financial Advisor/Broker James Couture Barred from Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses
James Couture a/k/a James Kenneth Couture was a previously licensed financial advisor/broker with LPL Financial LLC. According to James Couture’s BrokerCheck Report, James Couture was barred from the securities industry in October 2020.
According to James Couture’s BrokerCheck Report:
Couture consented to the sanction and to the entry of findings that he refused to produce all of the information and documents requested by FINRA in connection with its investigation into the allegations that formed the basis of his termination from his member firm. The findings stated that Couture’s firm submitted a Form U5 terminating his registration and alleging that he altered identifying information, account balances and distributions in customer account statements; maintained comingled customer funds; and used an unapproved email address. Initially FINRA received a response to its requests from Couture, however his production was substantially incomplete. Subsequently, Couture decided to cease complying with FINRA’s requests.
James Couture was discharged from LPL Financial LLC in June 2020. According to LPL Financial LLC, James Couture allegedly altered identifying information, account balances and distributions in customer account statement; maintained comingled customer funds; and used an unapproved email address.
Goodman & Nekvasil P.A. May Recover Investor Losses
If you lost money on investments with James Couture and believe 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 concerning James Couture’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 $200 million on behalf of victimized investors. If you lost money on investments with James Couture 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.
Some of the information in this blog post was obtained on 10/30/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.