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James Marino Has Received a FINRA Sanction

James MarinoPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 11, 2017 indicate that former Florida-based Edward Jones broker/adviser James Marino has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Marino (CRD# 6192459).

James Marino has spent 3 years in the securities industry and was most recently registered with Edward Jones in Pompano Beach, Florida (2013-2016). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one FINRA sanction and one pending customer complaint, and was recently discharged from his former employer.

In August 2017 FINRA sanctioned James Marino following allegations he “refused to appear for on-the-record testimony as requested by FINRA in connection with FINRA’s investigation into allegations against Marino related to his acceptance of gifts totaling approximately $20,500 from his member firm’s client and use of the client’s credit card for his own benefit in the amount of approximately $6,700.” He was barred from acting as a broker or otherwise associating with firms that sell securities to the public.

In 2016 he was terminated from his position at Edward Jones following allegations that “Without prior notice to or approval from the Firm, Mr. Marino accepted gifts totaling approximately $20,500.00 from a Firm client” and that “he was authorized to use the same client’s credit card and used that card for his benefit in the amount of approximately $6,700.00.”

In 2016 a customer alleged James Marino, while employed at Edward Jones, stole money. The customer is seeing more than $702,000 in damages in the pending complaint.

If you have lost money investing with James Marino, you may be entitled to recover lost funds. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: Fitapelli Kurta only gets paid if and when you recover money. 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.

 

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