{"id":6113,"date":"2018-06-21T14:18:36","date_gmt":"2018-06-21T18:18:36","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6113"},"modified":"2018-06-21T14:18:36","modified_gmt":"2018-06-21T18:18:36","slug":"former-broker-james-pettit-barred-by-finra","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/former-broker-james-pettit-barred-by-finra\/","title":{"rendered":"Former Broker James Pettit Barred By FINRA"},"content":{"rendered":"<p>Former broker James Albert Pettit (CRD #733916), formerly of Ameriprise Financial Services, Inc. (CRD #6363), was barred by FINRA on 3\/26\/2018. This is the result of failing to comply with an arbitration award, and providing proof of the compliance. The bar is indefinite, and in all capacities until the award is paid.<\/p>\n<p>Pettit is the subject of two FINRA regulatory actions and one by the state of Connecticut.<\/p>\n<p>Pettit\u2019s former employers include:<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/former-broker-james-pettit-barred-by-finra\/\"  title=\"Continue Reading Former Broker James Pettit Barred By FINRA\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Former broker James Albert Pettit (CRD #733916), formerly of Ameriprise Financial Services, Inc. (CRD #6363), was barred by FINRA on 3\/26\/2018. This is the result of failing to comply with an arbitration award, and providing proof of the compliance. The bar is indefinite, and in all capacities until the award is paid. Pettit is the [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[579,611,582,580],"tags":[108,903,290],"class_list":["post-6113","post","type-post","status-publish","format-standard","hentry","category-broker-permanently-barred","category-conflicts-of-interest","category-elder-fraud","category-stockbroker-misconduct","tag-ameriprise-financial-services","tag-james-pettit","tag-securities-arbitration"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Former Broker James Pettit Barred By FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; June 21, 2018<\/title>\n<meta name=\"description\" content=\"Former broker James Albert Pettit (CRD #733916), formerly of Ameriprise Financial Services, Inc. (CRD #6363), was barred by FINRA on 3\/26\/2018. This is &#8212; June 21, 2018\" \/>\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\/former-broker-james-pettit-barred-by-finra\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Former Broker James Pettit Barred By FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; June 21, 2018\" \/>\n<meta name=\"twitter:description\" content=\"Former broker James Albert Pettit (CRD #733916), formerly of Ameriprise Financial Services, Inc. (CRD #6363), was barred by FINRA on 3\/26\/2018. This is &#8212; June 21, 2018\" \/>\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":"Former Broker James Pettit Barred By FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; June 21, 2018","description":"Former broker James Albert Pettit (CRD #733916), formerly of Ameriprise Financial Services, Inc. (CRD #6363), was barred by FINRA on 3\/26\/2018. This is &#8212; June 21, 2018","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\/former-broker-james-pettit-barred-by-finra\/","twitter_card":"summary_large_image","twitter_title":"Former Broker James Pettit Barred By FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; June 21, 2018","twitter_description":"Former broker James Albert Pettit (CRD #733916), formerly of Ameriprise Financial Services, Inc. (CRD #6363), was barred by FINRA on 3\/26\/2018. This is &#8212; June 21, 2018","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\/former-broker-james-pettit-barred-by-finra\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-broker-james-pettit-barred-by-finra\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"Former Broker James Pettit Barred By FINRA","datePublished":"2018-06-21T18:18:36+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-broker-james-pettit-barred-by-finra\/"},"wordCount":413,"keywords":["ameriprise financial services","James Pettit","Securities Arbitration"],"articleSection":["Broker Permanently Barred","Conflicts of Interest","Elder Fraud","Stockbroker Misconduct"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/former-broker-james-pettit-barred-by-finra\/","url":"https:\/\/www.silverlaw.com\/blog\/former-broker-james-pettit-barred-by-finra\/","name":"Former Broker James Pettit Barred By FINRA &#8212; Securities Arbitration Lawyers Blog &#8212; June 21, 2018","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2018-06-21T18:18:36+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Former broker James Albert Pettit (CRD #733916), formerly of Ameriprise Financial Services, Inc. (CRD #6363), was barred by FINRA on 3\/26\/2018. This is &#8212; June 21, 2018","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/former-broker-james-pettit-barred-by-finra\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/former-broker-james-pettit-barred-by-finra\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/former-broker-james-pettit-barred-by-finra\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Former Broker James Pettit Barred 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\/6113","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=6113"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/6113\/revisions"}],"predecessor-version":[{"id":6114,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/6113\/revisions\/6114"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=6113"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=6113"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=6113"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}