{"id":10829,"date":"2022-09-29T09:33:16","date_gmt":"2022-09-29T13:33:16","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=10829"},"modified":"2022-09-29T09:33:16","modified_gmt":"2022-09-29T13:33:16","slug":"james-simpson-barred-after-allegations-of-selling-away","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/james-simpson-barred-after-allegations-of-selling-away\/","title":{"rendered":"James Simpson Barred After Allegations Of Selling Away"},"content":{"rendered":"<p><img loading=\"lazy\" decoding=\"async\" class=\"alignleft wp-image-10830 size-full\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/09\/James-Simpson.png\" alt=\"James Simpson (James Earl Simpson CRD# 424828) is a former registered broker and investment adviser whose last known employer was Equitable Advisors, LLC (CRD#:6627) of Toledo, OH. His previous employer was The Equitable Life Assurance Society Of The United States (CRD#:4039) of New York, NY. He has been in the industry since 1972.  in Simpson's nearly 50-year career, he has a total of five disclosures, three of which are customer disputes. The most recent was filed on 9\/24\/2021, in which the client alleged misappropriations of funds for an investment sold outside of the firm. This is known as \u201cselling away,\u201d since the product being sold is not part of the firm's offerings. At this writing, the claim is currently listed as pending.  A previous disclosure filed on August 6, 2021, also still pending, contains allegations that Simpson sold her an unsuitable variable annuity and misinformed her about a mutual fund investment. No specified damages are listed in either one of these claims.\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/09\/James-Simpson.png 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2022\/09\/James-Simpson-180x120.png 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>James Simpson (James Earl Simpson CRD# <a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/424828\" target=\"_blank\">424828<\/a>) is a former registered broker and investment adviser whose last known employer was Equitable Advisors, LLC (CRD#:6627) of Toledo, OH. His previous employer was The Equitable Life Assurance Society Of The United States (CRD#:4039) of New York, NY. He has been in the industry since 1972. <a href=\"https:\/\/www.silverlaw.com\/blog\/james-simpson-barred-after-allegations-of-selling-away\/#more-10829\" class=\"more-link\">Continue reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>James Simpson (James Earl Simpson CRD# 424828) is a former registered broker and investment adviser whose last known employer was Equitable Advisors, LLC (CRD#:6627) of Toledo, OH. His previous employer was The Equitable Life Assurance Society Of The United States (CRD#:4039) of New York, NY. He has been in the industry since 1972. Continue reading [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[584,580],"tags":[],"class_list":["post-10829","post","type-post","status-publish","format-standard","hentry","category-selling-away","category-stockbroker-misconduct"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>James Simpson Barred After Allegations Of Selling Away &#8212;<\/title>\n<meta name=\"description\" content=\"James Simpson is a former registered broker and investment adviser whose last known employer was Equitable Advisors, LLC of Toledo, OH.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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