Jason N. Anderson (Jason Anderson), Financial Advisor Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses

Goodman & Nekvasil P.A., May Recover Investor Losses | Jason N. Anderson (Jason Anderson), Financial Advisor Suspended from Securities Industry

Jason Anderson was a formerly licensed financial advisor with IFS Securities, Kovack Securities, Inc. and LPL Financial LLC. FINRA reports that Jason Anderson was discharged from LPL Financial LLC in 2016 for allegedly conducting discretionary trading in brokerage account, in violation of Firm policy.

FINRA reports that Jason Anderson was suspended from the securities and investment banking industry by FINRA indefinitely for allegedly failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

FINRA also reports that the State of Texas suspended Jason Anderson’s investment adviser representative registration for 90 days. The State of Texas reported that Jason Anderson did not have a reasonable basis to believe that the Equity Strategy was suitable for clients because Jason Anderson recommended the Equity Strategy without considering the trading costs. The State of Texas found that Jason Anderson’s recommendations without such reasonable basis constitute inequitable practices in the sales of securities. The State of Texas found that pursuant to Section 14.A(3) of the Texas Securities Act, the aforementioned inequitable practices in the sales of securities are bases for the suspension of Respondent’s registration with the Securities Commissioner.

FINRA also reports that an arbitration claim was filed involving Jason Anderson’s conduct with LPL Financial LLC alleging that in or around 2013, Jason Anderson engaged in churning, unauthorized trading and unsuitable recommendations in customer’s account. This arbitration claim is currently pending.

If you lost any money on investments with Jason Anderson, you may be able to recover your losses from IFS Securities, Kovack Securities, Inc. and/or LPL Financial LLC. This is because IFS Securities, Kovack Securities, Inc. and LPL Financial LLC had a duty to supervise Jason Anderson.

If you lost money on investments with Jason Anderson and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against IFS Securities, Kovack Securities, Inc. and/or LPL Financial LLC concerning Jason Anderson’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.

Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Jason Anderson and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.  

Contact Us Today!

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