{"id":2963,"date":"2015-08-24T00:00:00","date_gmt":"2015-08-24T04:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/"},"modified":"2015-08-24T00:00:00","modified_gmt":"2015-08-24T04:00:00","slug":"james-e-scott-permanently-barred-from-securities-industry-by-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/","title":{"rendered":"James E. Scott Permanently Barred from Securities Industry by FINRA"},"content":{"rendered":"<p><h2><a href=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/James-E.-Scott-Permanently-Barred-from-Securities-Industry-by-FINRA.jpg\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"aligncenter size-large wp-image-1732\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/James-E.-Scott-Permanently-Barred-from-Securities-Industry-by-FINRA-1024x683.jpg\" alt=\"James E. Scott Permanently Barred from Securities Industry by FINRA on silverlaw.com\" width=\"1024\" height=\"683\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/James-E.-Scott-Permanently-Barred-from-Securities-Industry-by-FINRA-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/James-E.-Scott-Permanently-Barred-from-Securities-Industry-by-FINRA-300x200.jpg 300w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/a><\/h2>\n<h2>Barred for allegedly aiding and abetting violation of federal securities law<\/h2>\n<\/p>\n<p>After 16 years in the securities industry, James E. Scott has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Scott was most recently registered with International Assets Advisory, LLC.<\/p>\n<p>According to the <span style=\"color: #0000ff;\"><a style=\"color: #0000ff;\" href=\"https:\/\/brokercheck.finra.org\/Individual\/Summary\/2984252\"  target=\"_blank\">FINRA BrokerCheck website<\/a><\/span>, Scott worked as a long-time sales assistant for an individual broker referred to in the disciplinary action as \u201cRO.\u201d From April 2012 through December 2012, Scott allegedly aided and abetted RO to continue acting as a broker \u2013 engaging in the recommendation and sale of securities transactions \u2013 in the state of Texas.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/\"  title=\"Continue Reading James E. Scott Permanently Barred from Securities Industry by FINRA\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Barred for allegedly aiding and abetting violation of federal securities law After 16 years in the securities industry, James E. Scott has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Scott was most recently registered with International Assets Advisory, LLC. According to the FINRA [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[602],"tags":[493,454],"class_list":["post-2963","post","type-post","status-publish","format-standard","hentry","category-class-action","tag-fi","tag-permanently-barred-by-finra"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>James E. Scott Permanently Barred from Securities Industry by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; August 24, 2015<\/title>\n<meta name=\"description\" content=\"Read the full articles on After 16 years in the securities industry James E. Scott Permanently Barred from Securities Industry by FINRA on silverlaw.com\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"James E. Scott Permanently Barred from Securities Industry by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; August 24, 2015\" \/>\n<meta name=\"twitter:description\" content=\"Read the full articles on After 16 years in the securities industry James E. Scott Permanently Barred from Securities Industry by FINRA on silverlaw.com\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"James E. Scott Permanently Barred from Securities Industry by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; August 24, 2015","description":"Read the full articles on After 16 years in the securities industry James E. Scott Permanently Barred from Securities Industry by FINRA on silverlaw.com","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/","twitter_card":"summary_large_image","twitter_title":"James E. Scott Permanently Barred from Securities Industry by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; August 24, 2015","twitter_description":"Read the full articles on After 16 years in the securities industry James E. Scott Permanently Barred from Securities Industry by FINRA on silverlaw.com","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"James E. Scott Permanently Barred from Securities Industry by FINRA","datePublished":"2015-08-24T04:00:00+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/"},"wordCount":463,"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/James-E.-Scott-Permanently-Barred-from-Securities-Industry-by-FINRA-1024x683.jpg","keywords":["FI","Permanently Barred by FINRA"],"articleSection":["Class Action"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/","url":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/","name":"James E. Scott Permanently Barred from Securities Industry by FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; August 24, 2015","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/James-E.-Scott-Permanently-Barred-from-Securities-Industry-by-FINRA-1024x683.jpg","datePublished":"2015-08-24T04:00:00+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Read the full articles on After 16 years in the securities industry James E. Scott Permanently Barred from Securities Industry by FINRA on silverlaw.com","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/#primaryimage","url":"","contentUrl":""},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/james-e-scott-permanently-barred-from-securities-industry-by-finra\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"James E. Scott Permanently Barred from Securities Industry by FINRA"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2963","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=2963"}],"version-history":[{"count":0,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/2963\/revisions"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=2963"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=2963"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=2963"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}