FINRA Broker Allegations

Allegations against: James Edward Lyons

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: Violations of finra rules, unauthorized trading, suitability, overconcentration, mismarking trades, self-dealing, failure to disclose risk, breach of contract, fraudulent representation, concealing costs, and conflict of interest. Activity dates: 1/31/00-12/5/18.