Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Bowman (Bowman), previously associated with Edward Jones, has at least one disclosable event. These events include one tax lien, alleging that Bowman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on March 06, 2025.
Without admitting or denying the findings, Bowman consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he personally reimbursed his customers for losses and fees in their accounts.
