James A. Bowman

Regulator action

United States. Named in 1 sanctions listing.

Sanctions and listings1

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/06/2025: Bowman refused to appear for on-the-record testimony requested pursuant to FINRA Rule 8210 in connection with a FINRA investigation into whether Bowman personally reimbursed his customers for losses and fees. As a result, Bowman violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.
Reference 2024084129301finra.org data-portal.finra.org

Identifiers1

Identifier	Number
ID number	4469446

Other names1

Also known as1

James Allen Bowman

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