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Investor Alleges Jameson Van Houten Violated FINRA Rules

Oct 28, 2022 Unsuitable Investments

Jameson Van Houten (CRD #: 2771800), a broker formerly registered with Crown Capital Securities, allegedly failed to conduct due diligence on an investment product, according to his BrokerCheck record, accessed on October 15, 2022. If you have questions about his conduct as a broker, read on.

Investor Dispute

In a dispute filed on July 11, 2022, an investor named Jameson Van Houten in allegations concerning unsuitability, misrepresentation, failure to supervise, and failure to conduct due diligence with regard to purchases of an alternative investment. The client seeks $570,000 in this pending dispute.

FINRA Rule 2111 

FINRA Rule 2111 requires brokers to tailor their recommendations of investments to their clients’ profiles. An investor’s profile contains information about their age, risk tolerance, and financial goals.

FINRA Rule 2020

FINRA Rule 2020 forbids the use of manipulative or deceptive tactics, like the misrepresentation or omission of material facts, as they relate to the purchase and sale of securities.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish supervisory systems in order to identify and prevent violations of securities regulations. Among other things, firms must appoint supervisors and provide them with Written Supervisory Procedures (WSPs).

Background Information

Jameson Van Houten has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

He has also worked for the following firms:

  • Crown Capital Securities (CRD#:6312)
  • The O.N. Equity Sales Company (CRD#:2936)
  • SagePoint Financial (CRD#:133763)
  • American General Securities (CRD#:13626)
  • MetLife Securities (CRD#:14251)
  • Metropolitan Life Insurance Company (CRD#:4095)

Kurta Law Can Help

If you worked with Jameson Van Houten 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.