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James Lee Allegedly Failed to Comply with an Arbitration Award

James Lee (CRD #: 5294692) is the subject of a regulatory action. This is according to his BrokerCheck record, accessed on June 26, 2024. Keep reading if you have questions regarding his alleged conduct. 

Regulatory Action 

On May 29, 2024, FINRA suspended James Lee following allegations that he failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. 

The suspension will continue until the required payment is made or discharged. 

On March 26, 2024, FINRA found James Lee liable for an award of $502,574.45. You can read a copy of the award here.

Background Information 

James Lee has passed the following exams:

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

During his 15 years of experience, James Lee has registered with three firms: 

  • Wells Fargo Clearing Services (CRD #: 19616) 
  • JP Morgan Securities (CRD #: 79) 
  • Thrivent Investment Management (CRD #: 18387) 

Kurta Law Can Help 

If you have worked with James Lee and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email 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.


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