Investor Alleges Jason Freeman Executed Unauthorized Trades
Jason Freeman (CRD #:2339472), a registered broker and investment advisor with Wells Fargo Clearing Services, is involved in an investor dispute alleging unauthorized trades, according to his BrokerCheck record, accessed on November 8, 2021. Keep reading for more details if you are concerned about Jason Freeman’s conduct as a broker.
On August 9, 2021, an investor dispute was filed against Jason Freeman alleging that he sold covered calls without the client’s authorization, resulting in unintended tax consequences and lost investment opportunities. Making unauthorized trades in or facilitating unauthorized withdrawals from a customer’s account is a breach of the duty to observe high standards of commercial honor and just and equitable principles, in violation of FINRA Rule 2010.
The dispute was denied; however, investors should know that the denial of their complaint doesn’t mean the end of the case. You can still seek FINRA arbitration and recover your losses following a denial.
On September 17, 2021, Jason Freeman was involved in another dispute which was settled. According to the investor between March and August 2011, Jason Freeman allegedly executed an unsuitable options trading strategy. The dispute settled for $100,000.
Jason Freeman Background Information
Jason Freeman: 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
Jason Freeman is a registered broker in 29 states. He is also a registered investment advisor in Florida and Texas.
Besides Wells Fargo Clearing Services, Jason Freeman has worked with the following firms:
- Banc Of America Investment Services (CRD#:16361)
- Salomon Brothers (CRD#:740)
- Citigroup Global Markets (CRD#:7059)
- Lehman Brothers (CRD#:7506)
Kurta Law Can Help
If you have worked with Jason Freeman and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or firstname.lastname@example.org 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 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.