Tag Archives: Alluvion Securities LLC

SEC Sanctions Alluvion Stockbroker For Stealing

John Sherman Jumper of Memphis Tennessee a stockbroker formerly registered with Alluvion Securities LLC is the subject of a Securities and Exchange Commission (SEC) Order Instituting Administrative Proceedings Pursuant to Securities Exchange Act of 1934 Section 15(b) and Investment Advisers Act Section 203(f) in which SEC is considering barring Jumper from being a securities broker […]

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Alluvion Chief Executive Officer Barred In Investigation

John Sherman Jumper, of Memphis, Tennessee, a former chief executive officer, chief compliance officer, and chief financial officer of Alluvion Securities, LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations that Jumper misappropriated […]

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