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James Hyre Subject of Unauthorized Trading Allegations

James Hyre (CRD #: 2429707), a broker registered with Raymond James Financial Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on December 7, 2023. Keep reading if you have questions about his conduct as a broker. 

On September 15, 2023, an investor alleged that James Hyre sold securities in a client’s discretionary account without their approval. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Selling trades without a client’s approval may violate this rule. 

Background Information 

James Hyre 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 31 Futures Managed Funds Examination 
  • Series 7 General Securities Representative Examination
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 
  • Series 10 General Securities Sales Supervisor – General Module Examination 
  • Series 9 General Securities Sales Supervisor – Options Module Examination 

He is a registered broker in 31 states and D.C. He is a registered investment adviser in Ohio and Texas. 

James Hyre has registered with the following firms: 

  • Raymond James Financial Services (CRD #: 6694) 
  • Raymond James Financial Services Advisors (CRD #: 149018) 
  • McDonald Investments (CRD #: 566) 
  • A.G. Edwards & Sons (CRD #: 4) 
  • AAG Securities (CRD #: 36451) 
  • Securities America (CRD #: 10205) 
  • The Variable Annuity Marketing Company (CRD #: 5081) 

Kurta Law Can Help 

If you have worked with James Hyre 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.