James Bowman Barred by FINRA for Alleged Refusal to Provide Testimony

James Bowman (CRD #: 4469446), a broker formerly registered with Edward Jones, has been barred by FINRA, according to his BrokerCheck record, accessed on May 6, 2025. Keep reading to learn more about his alleged conduct as a broker.

Bar by FINRA

On March 6, 2025, James Bowman consented to the entry of findings that he allegedly refused to appear for on-the-record testimony requested in connection with a FINRA investigation.

According to a Letter of Acceptance, Waiver & Consent (AWC), this investigation concerned allegations made in a Form U5 (Uniform Termination Notice for Securities Industry Registration) filed by Edward Jones. In it, the firm alleged that James Bowman was fired for potentially personally reimbursing his clients for their losses and fees.

The AWC concluded that the alleged refusal to appear for testimony constituted a violation of FINRA Rules 8210 and 2010.

FINRA Rule 8210

FINRA Rule 8210 requires members to submit their books and records for inspection and to appear for testimony in connection with FINRA investigations.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Sanctions

James Bowman was permanently barred by FINRA, starting March 6, 2025. You can read the full AWC here.

Termination from Edward Jones

On October 30, 2025, James Bowman was fired from Edward Jones following allegations that he may have personally reimbursed investors for their losses and fees in their accounts.

FINRA Rule 2150

FINRA Rule 2150 prohibits brokers from directly or indirectly sharing in the profits or losses of a client’s account unless they have prior authorization from both the client and their firm.

Further, brokers can only share in the profits or losses of an account in direct proportion to their own financial contributions to the account.

Background Information

James Bowman has passed the following exams:

• Securities Industry Essentials Examination – SIE
• General Securities Representative Examination – Series 7
• Uniform Securities Agent State Law Examination – Series 63

He previously worked for Edward Jones (CRD#:250).

Kurta Law Can Help

If you worked with James Bowman and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.