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James Etter Allegedly Engaged in Unapproved Private Securities Transactions

James Etter (CRD #: 5576744), a broker formerly registered with NatAlliance Securities, allegedly engaged in an unapproved private securities transaction, according to his BrokerCheck record, accessed on June 7, 2023. If you want to know more about his alleged conduct as a broker, keep reading.

Resignation from NatAlliance Securities

On April 20, 2023, James Etter resigned from NatAlliance Securities after FINRA allegedly found that he engaged in a private securities transaction that had not been approved by the firm.

FINRA Rule 3280

FINRA Rule 3280 requires brokers to seek approval from their firm before engaging in private securities transactions.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

James Etter has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 31 – Futures Managed Funds Examination
  • Series 7 – General Securities Representative Examination

He previously worked for the following firms:

  • NatAlliance Securities (CRD#:39455)
  • Morgan Stanley Smith Barney (CRD#:149777)
  • Morgan Stanley & Company (CRD#:8209)

Kurta Law Can Help

If you worked with James Etter 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 and 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. 

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