JONE KIMBERLY JAMES is currently employed as a Broker and/or Investment Adviser at INDEPENDENCE CAPITAL CO., INC. located at 6900 MILLER ROAD, WARREN, MI, 48092-4723.
JONE KIMBERLY JAMES has worked at INDEPENDENCE CAPITAL CO., INC. since January 03, 2007
Disclosure History
JONE KIMBERLY JAMES has 2 Disclosure Event(s).
Date: January 03, 2007 Category: Customer Dispute Allegations: MISREPRESENTATION,SUITABILITY,FRAUD AND BREACH OF FIDUCIARYDUTY
Date: August 15, 2006 Category: Customer Dispute Allegations: ALLEGATIONS OF MISREPRESENTATION, SUITABILITY, FRAUD AND BREACH OF FIDUCIARY DUTY. Broker Comment: CASE IS SETTLED TERMS ARE SUBJECT TO CONFIDENTIALITY AGREEMENT.THIS WAS A PENDING COMPLAINT AGAINST OTHER AGENTS AND REPRESENTATIVES IN THIS OFFICE. I WAS NAMED IN THE LAWSUIT BECAUSE I AM MARRIED TO THE OWNER OF THE AGENCY. I WAS NEVER INVOLVED PERSONLLY IN THE CASE.SHE HAS NO KNOWLEDGE A THE SETTLEMENT AOUMT NOR DOES THE FIRM WE BELIEVE IT TO BE MORE THEN $10000.00
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for JONE KIMBERLY JAMES, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.