Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 12, 2019 indicate that former South Dakota-based Ameritas Investment Corporation broker/adviser James Anderson was recently discharged from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Anderson (CRD# 4803514).
James Anderson has spent 14 years in the securities industry and was most recently registered with Ameritas Investment Corporation in Dakota Dunes, South Dakota (2004-2019). He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 1, 2004; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 28, 2004. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one regulatory sanction and was discharged from a former employer in connection to alleged rule violations.
In February 2019 he was terminated from his position at Ameritas Investment Corporation following the conclusion of an internal investigation into allegations he sold investments in indexed annuities and promissory notes away from the firm.
In 2013 FINRA sanctioned him in connection to allegations he sold investments in indexed annuities not listed on the firm’s approved list, constituting an outside business activity for which he failed to give prompt prior notice to the firm. He was issued a compliance conference in connection with the sanction.
If you have lost money investing with James Anderson, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.