Jason Seale – Financial Advisor/Broker Jason Seale Suspended from Securities Industry | Goodman & Nekvasil P.A., May Recover Investor Losses
Jason Seale a/k/a Jason Lee Seale CRD #1874548
Jason Seale is a licensed financial advisor with American Wealth Management Inc.
According to FINRA, Jason Seale was fined $5,000 and suspended from the securities industry for 15 days in September 2021.
According to FINRA Allegations:
Seale consented to the sanctions and to the entry of findings that he exercised discretionary trading authority to effect more than 60 transactions in four customers’ accounts. The findings stated that none of the customers provided written authorization for Seale to exercise discretion in their accounts and Seale’s member firm did not accept any of the accounts as discretionary accounts in writing. Seale also completed and submitted to the firm a compliance questionnaire in that he inaccurately stated that he did not and would not exercise discretion in any customer accounts without the firm’s written authorization.
Goodman & Nekvasil, P.A. May Recover Investor Losses:
If you lost money on investments with Jason Seale 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 concerning Jason Seale’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 $200 million on behalf of victimized investors. If you lost money on investments with Jason Seale 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.
Some of the information in this blog post was obtained on 8/17/2021 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.