Tag Archives: James Paul Kolf

Regulators Bar MetLife Stockbroker For Fraud

James Paul Kolf of Madison Wisconsin a stockbroker formerly registered with MetLife Securities Inc. has been barred from being a stockbroker or an investment adviser or associating with securities broker dealers or investment advisories according to an Order Instituting Administrative Proceedings, Making Findings and Imposing Remedial Sanctions issued by Securities Exchange Commission (SEC) based upon […]

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MSI Financial Services Sued In Customer Arbitration Alleging Unsuitability

February 14, 2017  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

James Paul Kolf, of Madison, Wisconsin, a stockbroker formerly registered with MSI Financial Services, Inc., has been named in a customer initiated investment related written complaint on January 30, 2017, in which the customer requested $8,113.06.00 in damages based upon allegations that Kolf omitted information concerning the surrender penalties on a variable annuity contract. Financial […]

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New England Securities Broker Banned for Sale of Fake Investments

James Paul Kolf, of Middleton, Wisconsin, a stockbroker with New England Securities, was barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he made fraudulent misrepresentations to customers. Letter of Acceptance, Waiver and Consent, No. 2016050940701 (Sept. 6, 2016). According to the AWC, from October […]

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