Brian Jones Subject of a Regulatory Action
Brian Jones (CRD #: 4203098), a broker registered with Cambridge Investment Research, is the subject of a regulatory action. This is according to his BrokerCheck record, accessed on May 13, 2024. Details concerning this dispute are provided below.
Regulatory Action
On March 27, 2024, Brian Jones entered into an Acceptance, Waiver, and Consent agreement (AWC) in which he consented to the findings that he participated in two private securities transactions, totaling $100,000, without seeking approval from his firm, as required by FINRA Rule 3280. He allegedly researched a private placement offering and recommended two of his advisory customers purchase shares of the offering.
Terms of the AWC
As part of the terms of the AWC, Brian Jones is the subject of a 45-day suspension and a $5,000 fine. You can read a copy of the AWC here.
Private Securities Transactions
FINRA Rule 3280 requires brokers to provide written notice to their firm before engaging in private securities transactions.
Background Information
Brian Jones has passed the following exams:
- Series 66 Uniform Combined State Law Examination
- Series 99TO Operations Professional Examination
- Series 79TO Investment Banking Registered Representative Examination
- SIE – Securities Industry Essentials Examination
- Series 7 General Securities Representative Examination
- Series 24 General Securities Representative Examination
- Series 28 Introducing Broker/Dealer Financial Operations Principal Examination
He is a registered broker in nine states and is a registered investment adviser in Iowa and Texas.
During his 20 years of experience, Brian Jones has registered with ten firms. These are the five most recent:
- Cambridge Investment Research (CRD #: 39543)
- Investment Advisors Corp (CRD #: 117531)
- Broker Dealer Financial Services (CRD #: 8073)
- LWBJ Investment Services (CRD #: 150606)
- First National Capital Markets (CRD #: 115920)
Kurta Law Can Help
If you have worked with Brian Jones and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.
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