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James Edward Knee Formerly With Voya Financial Advisors, Inc. And Ameriprise Financial Services, Inc. Has 8 Customer Complaints for Alleged Broker Misconduct

Who is James E. Knee formerly with Voya Financial Advisors, Inc.?

James Knee (CRD #1852920) who was formerly registered with Voya Financial Advisors, Inc. and located in Concord, New Hampshire is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to Voya Financial Advisors, Inc., James Knee was associated with Ameriprise Financial Services, Inc. and 8 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Knee’s had his own problems with the regulators.  In May 2018, he consented to a permanent bar for refusing to appear for on-the-record testimony in connection with a FINRA investigation into allegations that he misappropriated customers’ funds while registered with a FINRA member firm.

Voya Financial Advisors, Inc. And Amerprise Financial Services, Inc. Broker Misconduct

In his career, James Knee has been the subject of 8 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Three of James Knee’s 8 customer complaints were settled in favor of investors. The remaining 5 customers’ complaints were denied by his former employers in the customers did not pursue their claims.

Allegations Against James Knee  

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • The customer alleges that she was deceived by James Knee into purchasing annuities.
  • The customer alleged that the application contains information that is inaccurate relating to the purchase of an annuity.
  • The customer alleged a royalty trust investment was unauthorized.
  • The client alleged that the investment recommendation to purchase a royalty trust was an unsuitable recommendation.
  • The client’s alleged that James Knee misrepresented the terms of an AIG annuity.
  • Multiple clients alleged unsuitable annuity investment recommendations.

James Knee Red Flags & Your Rights as An Investor

Of course, James Knee did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags that should put all current and former customers of James Kneeat Voya Financial Advisors, Inc. and Ameriprise Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether James Knee has engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at Voya Financial Advisors, Inc. and Ameriprise Financial Services, Inc. also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses At Voya Financial Advisors, Inc. And Ameriprise Financial Services, Inc.

If you have questions about Voya Financial Advisors, Inc., Ameriprise Financial Services, Inc., and/or James Knee and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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