{"id":7168,"date":"2019-06-06T13:18:51","date_gmt":"2019-06-06T18:18:51","guid":{"rendered":"https:\/\/www.investorlawyers.com\/?p=7168"},"modified":"2019-06-06T13:18:51","modified_gmt":"2019-06-06T18:18:51","slug":"finra-bars-ex-ameritas-broker","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/","title":{"rendered":"FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations"},"content":{"rendered":"<p>\t\t\t\tJames Anderson, an ex-<a href=\"https:\/\/www.investorlawyers.com\/?s=Ameritas\" target=\"_blank\" rel=\"noopener noreferrer\">Ameritas Investment Corp.<\/a> adviser, is now barred by the <a href=\"http:\/\/www.finra.org\" target=\"_blank\" rel=\"noopener noreferrer\">Financial Industry Regulatory Authority (FINRA) <\/a>after he failed to participate in a probe into allegations that he had taken part in selling away. Ameritas fired Anderson earlier this year after the brokerage firm\u2019s own investigation found that he had engaged in selling promissory notes and indexed annuities that it had not approved.<\/p>\n<p>Anderson was at Ameritas for 14 years. In April, a claimant filed a FINRA arbitration case accusing of making unsuitable recommendations by pushing promissory notes. The allegations are related to the selling away charges against him. The claimant is asking for $400K in damages.<\/p>\n<h2><strong>Selling Away<\/strong><\/h2>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/\"  title=\"Continue Reading FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>James Anderson, an ex-Ameritas Investment Corp. adviser, is now barred by the Financial Industry Regulatory Authority (FINRA) after he failed to participate in a probe into allegations that he had taken part in selling away. Ameritas fired Anderson earlier this year after the brokerage firm\u2019s own investigation found that he had engaged in selling promissory [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":6584,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3773,3783,3739,4049],"tags":[3722,3723,3724],"class_list":["post-7168","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-broker-fraud","category-broker-misconduct","category-finra","category-industry-bars","tag-ameritas-investment","tag-james-anderson","tag-selling-away"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Ex-Ameritas Broker Barred By FINRA | Investor Lawyers Blog<\/title>\n<meta name=\"description\" content=\"An ex-Ameritas adviser has been barred by FINRA after he failed to participate in a probe into allegations that he had taken part in selling away.\" \/>\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.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Ex-Ameritas Broker Barred By FINRA | Investor Lawyers Blog\" \/>\n<meta name=\"twitter:description\" content=\"An ex-Ameritas adviser has been barred by FINRA after he failed to participate in a probe into allegations that he had taken part in selling away.\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.25.18.jpeg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; 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Kantas, LLP","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/#article","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/"},"author":{"name":"Shepherd Smith Edwards &amp; Kantas, LLP","@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"headline":"FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations","datePublished":"2019-06-06T18:18:51+00:00","mainEntityOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/"},"wordCount":420,"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.25.18.jpeg","keywords":["Ameritas Investment","James Anderson","Selling Away"],"articleSection":["Broker Fraud","Broker Misconduct","FINRA","Industry Bars"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/","url":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/","name":"Ex-Ameritas Broker Barred By FINRA | Investor Lawyers Blog","isPartOf":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/#primaryimage"},"image":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/#primaryimage"},"thumbnailUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.25.18.jpeg","datePublished":"2019-06-06T18:18:51+00:00","author":{"@id":"https:\/\/www.investorlawyers.com\/blog\/#\/schema\/person\/e0240e0754684b69f7d6a7de1b9f1431"},"description":"An ex-Ameritas adviser has been barred by FINRA after he failed to participate in a probe into allegations that he had taken part in selling away.","breadcrumb":{"@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/#primaryimage","url":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.25.18.jpeg","contentUrl":"https:\/\/www.investorlawyers.com\/blog\/wp-content\/uploads\/2018\/09\/9.25.18.jpeg","width":2000,"height":1500,"caption":""},{"@type":"BreadcrumbList","@id":"https:\/\/www.investorlawyers.com\/blog\/finra-bars-ex-ameritas-broker\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.investorlawyers.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Bars Ex-Ameritas Broker Following Selling Away Allegations"}]},{"@type":"WebSite","@id":"https:\/\/www.investorlawyers.com\/blog\/#website","url":"https:\/\/www.investorlawyers.com\/blog\/","name":"Investor Lawyers Blog","description":"Published By Investment Fraud Attorneys \u2014 Shepherd Smith Edwards &amp; 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