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Articles Tagged with James Lyons

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James Edward Lyons (CRD #1020397) is a former broker and investment advisor who was last registered with Raymond James & Associates, Inc. (CRD #705) of Shreveport, LA. He was previously employed by Morgan Keegan & Company, Inc. (CRD #4161), also of Shreveport, and Capitol Securities Group, Inc. (CRD #8094). No current employment information is available. He has been in the industry since 1981.

https://www.silverlaw.com/blog/wp-content/uploads/2017/07/FINRA-Permanently-Bars-Honetta-C.-Kao-After-Allegations-of-Unauthorized-Trading-and-Mishandled-Accounts-300x200.jpgLyons is the subject of a current customer dispute with multiple claimants alleging a number of complaints, including unauthorized trading, fraudulent concealment, overconcentration, unsuitability and others. The actions in question occurred between 2001 and 2017. The damages requested total $5,000,000. The case is currently pending.

A similar complaint was filed on 04/29/2016, with many of the same allegations from 2/17/2011 – 4/29/2016. The client alleges unauthorized trading, churning, fraudulent omissions, suitability, and securities law violations at both the federal and state (Louisiana) level. The client requested damages of $1,200,000, and the case was settled for $400,000.

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