James Joseph Van Ham (James Van Ham) – Financial Advisor/Broker James Van Ham Suspended from the Securities Industry | Goodman & Nekvasil, P.A. May Recover Investor Losses

James Joseph Van Ham (James Van Ham) CRD #1231636

James Van Ham was a previously licensed financial advisor/broker with The O.N. Equity Sales Company and Country Capital Management Company. FINRA reports that James Van Ham was fined $5,000 and suspended from the securities industry for two months in July 2020.

According to the FINRA Allegations:

Van Ham consented to the sanctions and to the entry of findings that James Van Ham circumvented his member firm’s supervisory procedures in an effort to effect a senior customer’s variable-to-fixed annuity exchange that his firm had already rejected as unsuitable. The findings stated that Van Ham sent an email from his unmonitored and unapproved personal email account to an individual not associated with his firm, seeking assistance to process the transaction away from the firm. In the email, Van Ham warned the individual not to contact him through his firm email account, but instead to use his cell or the private email address. The exchange did not occur.

Goodman & Nekvasil P.A. May Recover Investor Losses

If you lost money on investments with James Van Ham 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 Van Ham’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 $180 million on behalf of victimized investors. If you lost money on investments with James Van Ham 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 6/18/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.

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