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Jacob Cazier Named in Dispute Alleging Failure to Detect Fraud

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
June 30, 2023 at 9:35pm

Jacob Cazier (CRD #: 6904198), a broker formerly registered with J.W. Cole Financial, is involved in two pending disputes, according to his BrokerCheck record, accessed on June 22, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Investor Disputes

In disputes filed on April 18 and May 12, 2023, investors named Jacob Cazier in allegations that his firm failed to detect fraud conducted outside the firm by another broker. These pending disputes seek a total of $15.85 million in damages.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Jacob Cazier has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He has also worked for J.W. Cole Financial (CRD#:124583) and Allegis Investment Services (CRD#:168557).

Kurta Law Can Help

If you worked with Jacob Cazier and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and 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. 

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