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Robert Jamison: FINRA Bars Atlanta PNC Advisor

A disciplinary action taken by the Financial Industry Regulatory Authority against former Atlanta, Georgia broker and investment advisor Robert Jamison (CRD# 5793591) barred him after finding he refused to appear for testimony connected with an investigation into whether he referred customers to an unregistered person who may have sold those customers unsuitable investments. A former representative of PNC Investments, Jamison was barred from acting as a broker or otherwise associating with a broker-dealer firm.

According to a Letter of Acceptance, Waiver and Consent (No. 2017055219802) dated December 2018, Robert Jamison appeared and provided FINRA with on-the-record testimony on February 22, 2018 related to its examination of allegations that “in connection with private securities transactions” he provided customers with referrals to an unregistered person who “may have recommended or sold unsuitable securities to those customers.” FINRA’s findings state that the regulator sent him a request on November 20, 2018 for additional testimony concerning the allegations under examination. According to FINRA, Jamison indicated in a November 21, 2018 email to FINRA that he was in the receipt of its request but would not appear for testimony as requested “on the date scheduled or at any other time.”

FINRA found this refusal to constitute violations of two FINRA rules. One was Rule 8210, which states in part that the regulator can require individuals under its jurisdiction to appear and provide testimony related to matters it’s investigating investigation; it also states that no person under its jurisdiction shall fail to do such. The other is FINRA Rule 2010, which requires associated persons to observe high standards of commercial honor and just and equitable principles of trade. As a result of the foregoing alleged conduct, Robert Jamison was barred from associating with any FINRA member firm in any capacity.

Robert Jamison is not currently registered as a broker or investment advisor. His employment history includes PNC Investments in Atlanta, Georgia, Independent Financial Group, First American Securities, Pruco Securities, and Valic Financial Advisors. He currently holds no state licenses and has passed four securities industry qualification examinations.

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