Former PNC Investments Financial Advisor Robert Jamison Accused of Selling Away
Posted on Tuesday, February 12th, 2019 at 2:49 pm
Erez Law is currently investigating former PNC Investments financial advisor Robert Jamison (CRD# 5793591) regarding selling unapproved products (also known as selling away). Jamison has been registered with the following brokerage firms during the past few years:
- PNC Investments in Atlanta, Georgia (06/16/2017 – 01/26/2018)
- Independent Financial Group, LLC in Salinas, California (09/08/2016 – 05/30/2017)
- IFS Securities in Atlanta, Georgia (03/09/2015 – 10/08/2015)
- First American Securities, Inc. in Atlanta, Georgia (12/06/2013 – 02/02/2015)
- Pruco Securities, LLC in Atlanta, Georgia (07/24/2012 – 11/22/2013)
- Valic Financial Advisors, Inc. in Atlanta, Georgia (08/06/2010 – 12/17/2010)
In December 2018, FINRA barred Jamison after he “consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony to FINRA related to allegations that he, in connection with private securities transactions, referred customers to an individual who was not registered and who may have recommended or sold unsuitable securities to those customers.”
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, PNC Investments may be liable for investment or other losses suffered by Jamison’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.