Tag Archives: James Ernest Joly

Investors Accuse Cantella Of Unauthorized Annuity Purchases

March 08, 2021  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   Comments Off on Investors Accuse Cantella Of Unauthorized Annuity Purchases

James Ernest Joly of East Greenwich Rhode Island a stockbroker currently registered with Cantella Co. Inc. is the subject of a customer initiated investment related complaint on April 21, 2020 where the customer sought $13,000.00 in damages supported by allegations of Joly causing an inappropriate asset transfer into an annuity. Joly has been identified in […]

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Voya Discharges Stockbroker For Outside Activity

James Ernest Joly (also known as Jim Joly) of East Greenwich Rhode Island a stockbroker formerly registered with Voya Financial Advisors Inc. has been discharged on July 10, 2018 founded on accusations that (1) Joly preserved Voya Financial Advisors customer account documents that were signed but otherwise blank so that he could effect transactions in […]

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Customer Accuses LPL Financial Of Unauthorized Trading

January 26, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

James Ernest Joly, of East Greenwich, Rhode Island, a stockbroker formerly employed with LPL Financial, LLC, is the subject of a customer initiated investment related written complaint on September 22, 2017, in which the customer sought damages estimated at more than $5,000.00 supported by allegations that unauthorized and unsuitable non-traded real estate investment trust and […]

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