Jarrett Imamura is the Subject of Suitability Dispute

Jarrett Imamura (CRD #: 3036591), a broker registered with LPL Financial, is the subject of an investor dispute. This dispute appears on his BrokerCheck record, accessed on March 12, 2024. Details regarding this disclosure are disclosed below. 

Investor Dispute 

On February 8, 2024, an investor alleged that Jarrett Imamura recommended an unsuitable investment. 

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

• Age
• Risk tolerance
• Time horizon (i.e., how long the investor plans to hold the investment)
• Investing experience
• Tax status
• Financial goals

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.

Background Information 

Jarrett Imamura 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 7 General Securities Representative Examination
• Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker and investment adviser in California and Hawaii. He is also a registered broker in Nevada. 

During his 25 years of experience, Jarrett Imamura has registered with eight firms. These are the three most recent: 

• LPL Financial (CRD #: 6413) 
• Cetera Investment Advisers (CRD #: 105644) 
• UVest Financial Services Group (CRD #: 13787) 

Kurta Law Can Help 

If you have worked with Jarrett Imamura and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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.