James Christopher Ward of Fort Meyers Florida a stockbroker formerly registered with Northwestern Mutual Investment Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to honor FINRA’s requests for information. Case No. 2018058038201 (Sept. 4, 2018).
FINRA reportedly lodged an inquiry into Ward following Ward’s termination from Northwestern Mutual Investment Services. In particular, Ward was terminated on March 7, 2018 supported by accusations that Ward admitted to having misappropriated an organization’s funds during the time that he was serving as the organization’s treasurer.
FINRA received no response to its request for Ward’s information, leading the regulator to suspend Ward on June 22, 2018. Apparently, Ward neglected to request that his suspension be lifted by a September 3, 2018 deadline. Consequently, FINRA barred Ward in all capacities.
