Jason Donald Comes (CRD #2220609) Has Customer Dispute, Criminal, and Judgment/Lien Disclosures on FINRA BrokerCheck

Jason Donald Comes (CRD #2220609) was previously registered as a broker. He has customer dispute, criminal, and judgment/lien disclosures on FINRA BrokerCheck. We reviewed his BrokerCheck report on May 14, 2026. It reflects five customer disputes, one criminal disclosure, and one judgment/lien disclosure. If you invested with Jason Comes and have concerns, keep reading.

BrokerCheck link: BrokerCheck

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Jason Comes’s FINRA BrokerCheck Report reflects five customer dispute disclosures. Two examples are below. Jason Comes’s FINRA BrokerCheck Report also lists three additional customer dispute disclosures.

On February 11, 2026, a customer alleged Jason Comes did not explain future capital calls. The customer said more money was needed for fees and expenses tied to an alternative investment bought in June 2023. The customer sought $5,389 in damages. Jason Comes’s FINRA BrokerCheck Report lists the product as direct investment-DPP and LP interests. The matter was pending when the report was reviewed.

In a separate 2020 matter, a customer alleged an annuity lacked a joint life rider. Jason Comes’s FINRA BrokerCheck Report lists the product as a variable annuity. The customer sought about $55,000 in damages. The firm denied the complaint on July 14, 2020.

Criminal Charges

Jason Comes’s FINRA BrokerCheck Report reflects one criminal disclosure with a final disposition.

On November 24, 1984, Jason Comes was charged with theft in Iowa District Court of Woodbury County, Iowa. The court record listed the matter as final on January 10, 1985. Jason Comes’s FINRA BrokerCheck Report states that all charges were dropped for lack of sufficient evidence.

Judgment / Lien Disclosures

Jason Comes’s FINRA BrokerCheck Report reflects one judgment/lien disclosure.

On October 4, 2012, a federal tax lien was filed by the IRS. Jason Comes’s FINRA BrokerCheck Report lists the amount as $65,728 and states that the lien was outstanding when reported. The report identifies the court as the Douglas County Recorder in Douglas County, Nebraska.

Rule Summary #1: FINRA Rule 2111 (Suitability)

FINRA Rule 2111 requires a broker to have a reasonable basis for a recommendation. Customer disputes about alternative investments may raise questions about risk, costs, and liquidity.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor)

FINRA Rule 2010 requires high standards of commercial honor and just and equitable principles of trade. It can apply when broker conduct raises fairness or investor-protection concerns.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation. It strengthens the standard of conduct that broker-dealers owe to retail investors. It applies when they recommend securities transactions or investment strategies. The U.S. Securities and Exchange Commission adopted Reg BI. It became effective on June 30, 2020. Reg BI aims to protect investors while preserving access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in a retail customer’s best interest at the time of a recommendation. They must not place their own financial or other interests ahead of the customer’s. This standard is higher than the older “suitability” rule. Suitability meant a recommendation only had to be appropriate. It did not have to be the best option or free of conflicts.

Reg BI has four key obligations:

Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and the recommendation. This includes fees, the scope of services, and conflicts of interest.

Care Obligation – Broker-dealers must use reasonable diligence, care, and skill. They must consider costs, risks, and alternatives when making a recommendation.

Conflict of Interest Obligation – Firms must identify conflicts of interest. They must disclose them and mitigate or eliminate them. This includes conflicts that create incentives to favor one product over another.

Compliance Obligation – Firms must maintain policies and procedures. Those policies should be designed to ensure compliance with Reg BI as a whole.

Reg BI applies to each recommendation. It is not a continuous duty like the fiduciary standard for registered investment advisers. Even so, it narrows the gap. It puts more focus on costs, conflicts, and investor-focused decision-making.

Overall, Regulation Best Interest promotes transparency. It also aims to improve the quality of investment recommendations. It is designed to reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on his FINRA BrokerCheck report, Jason Comes:

Is not currently registered as a broker.

Has passed the Securities Industry Essentials (SIE) exam. Jason Comes has passed Series 7 and Series 6. He has also passed Series 63.

Was previously registered with firms that include Cetera Advisor Networks LLC, LPL Financial LLC, and Securities America, Inc.

Kurta Law Can Help

If you have worked with Jason Comes and have concerns about his activity, Kurta Law may be able to help. The firm can evaluate your legal options. A securities attorney can review potential claims and explain whether losses may be recoverable through FINRA arbitration or other avenues. To speak with Kurta Law, call 877-600-0098 or email info@kurtalawfirm.com.

Helpful resources: Securities Attorney | Unsuitable Investments

For nearly 20 years, Kurta Law has advocated for investors and helped hold financial professionals accountable. Our firm represents clients nationwide in securities arbitration and related disputes. An attorney can review the facts and explain possible next steps.