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James Dickie Subject of Outside Business Allegations

James Dickie (CRD #: 4465359) has been suspended by FINRA following allegations of outside business. This disclosure appears on his BrokerCheck record, accessed on December 11, 2023. Keep reading for details concerning FINRA’s allegations. 

On October 10, 2023, James Dickie consented to findings that he received $9,000 from a customer of his member firm as part of a business transaction without seeking or obtaining the firm’s written pre-approval. According to the findings, the money was intended as an investment to finance the renovation of a car. 

Outside Business and Selling Away

FINRA Rule 3270 requires brokers to inform their firm of any outside business activities or any investments sold away from the firm. The brokerage firm may prohibit the activity if the firm believes the proposed activity may compromise the broker’s duties. Firms may also require brokers to seek approval of any outside business.

Terms of the AWC 

As part of the terms, James Dickie consented to an eight-month suspension. You can read a copy of the AWC here

Previously Disclosed Outside Business 

James Dickie has one outside business on his detailed BrokerCheck report: Owner of Integrity Wealth Management. 

Tax Liens 

He is also the subject of four tax liens, totaling approximately $37,598.62.

Background Information 

James Dickie has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 

During his 17 years of experience, he has registered with eight firms: 

  • Southeast Investments (CRD #: 43035) 
  • Ameriprise Financial Services (CRD #: 6363) 
  • JHS Capital Advisors (CRD #: 112097) 
  • Cetera Advisors (CRD #: 10299)
  • Valic Financial Advisors (CRD #: 42803) 
  • Wells Fargo Investments (CRD #: 10582)
  • WM Financial Services (CRD #: 599) 
  • Morgan Stanley DW (CRD #: 7556) 

Kurta Law Can Help 

If you have worked with James Dickie and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.