James Michael Green, of Chisago City, Minnesota, a stockbroker registered with Edward Jones, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Green failed to cooperate with a FINRA investigation. Letter of Acceptance, Waiver, and Consent No. 2023079059301 (August 23, 2023).
On August 23, 2023, FINRA asked Green to provide certain documents or information. His lack of cooperation and failure to provide the requested information or documents constituted a violation of FINRA Rules 8210 and 2010.
On August 25, 2023, a customer initiated investment related complaint involving Green’s conduct was settled for $20,000.00 in damages based upon allegations that Green engaged in unauthorized trading in mutual funds during the time that he was associated with Edward Jones.
Green was associated with Edward Jones in Chisago City, Minnesota from July 6, 2005, to June 15, 2023. Public Disclosure also shows that on June 2, 2023, Edward Jones discharged Green based upon allegations that Green executed a mutual fund transaction in a customer’s account without the customer’s direct communication, inaccurately documented the order in a contact management system, and initially provided incorrect information to the securities broker dealer regarding a complaint.
