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James Workman Resigns from Concourse Financial Group Securities

James Workman (CRD #: 4384208), a broker registered with San Blas Securities, resigned from his previous firm, according to his BrokerCheck record, accessed on December 15, 2022. Investors may have also engaged his services through SB Advisory. Read on to learn more about his alleged conduct as a broker.

Resignation from Concourse Financial Group Securities

On October 21, 2022, James Workman was permitted to resign from Concourse Financial Group Securities for allegedly failing to follow firm policies concerning personal investments.

FINRA Rule 2010

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

Background Information

James Workman has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 24 – General Securities Principal Examination

James Workman is a registered broker in Maryland, South Carolina, and Texas. He is also a registered investment adviser in New Jersey and Texas.

He has also worked for the following firms:

  • Concourse Financial Group Securities (CRD#:15708)
  • Ameritas Investment Corporation (CRD#:14869)
  • Allstate Financial Services (CRD#:18272)
  • The O.N. Equity Sales Company (CRD#:2936)
  • MetLife Securities (CRD#:14251)
  • Metropolitan Life Insurance Company (CRD#:4095)
  • 1717 Capital Management Company (CRD#:4082)

Kurta Law Can Help

If you worked with James Workman 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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