Boerne, Texas
MAY 2017 UPDATE-In October 2016, James Collard was suspended by FINRA for 10 days and ordered to pay fines and restitution of about $37,000. Collard has been registered with Managed Account Services in Boerne since 11/2016.
ORIGINAL POST JUNE 2016-According to FINRA records, James G. Collard , a stockbroker who currently works for VFinance Investments discloses a currently pending regulatory action.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In pending FINRA Disciplinary Proceeding 201220342425-01, FINRA alleges that Collard and his prior employer Further Lane Securities charged excessive markups in 55 corporate bond transactions from February 2012 through June 2012. Further Lane Securities terminated its registration with FINRA in May 2014. The FINRA action seeks sanctions and disgorgement of ill gotten gains.
Collard has been employed by VFinance Investments since 11/2013.
If you have questions about an account handled by James G. Collard, call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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