FINRA bars Kevin James Lee (CRD #2316331, Corvallis, Oregon)
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Raymond James agrees to pay $15 million to settle SEC investigation
As reported in InvestmentNews, three Raymond James entities have agreed to pay over $15 million to resolve an investigation by the SEC. The settlement and SEC order focused on Raymond James’s actions in improperly charging certain clients advisory fees when the...
read moreKevin James Lee (CRD #2316331, Corvallis, Oregon) April 11, 2018 – A Letter of Acceptance, Waiver and Consent (AWC) was issued in which Lee was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Lee consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with an investigation regarding payments received from a customer of his member firm to determine whether Lee engaged in an undisclosed outside business activity or otherwise acted in violation of FINRA rules. (FINRA Case #2017056157801)
If you or someone you know has lost money investing with Kevin James Lee call the experienced FINRA arbitration attorneys at Epperson & Greenidge, LLP at 877-445-9261 for a free consultation. You may be eligible to recoup your losses. Epperson & Greenidge, LLP accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-445-9261 now to speak to an attorney for free.