Tag Archives: James Marc Unger

SEC Bars Financial America Stockbroker For Fraud

James Marc Unger of Cleveland Ohio a stockbroker formerly employed by Financial America Securities has been barred from being a stockbroker or investment advisor representative or otherwise associating with securities broker dealers or investment advisories according to an SEC Order Instituting Administrative Proceedings based in part on Unger misappropriating funds belonging to one of his […]

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Financial America Services Broker Barred By Regulator

February 19, 2018  |   Posted by :   |   Customer Loans, Investment and Regulatory News   |   0 Comments

James Marc Unger of Mayfield Heights Ohio is a stockbroker formerly registered with Financial America Services who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Unger (1) entered into an unapproved borrowing arrangement with a customer (2) falsely attested to his […]

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