Jason Goodhue Allegedly Executed Unauthorized Transactions

Jason Goodhue (CRD #: 5121680), a broker registered with Capitol Securities Management, is involved in a state regulatory action, according to his BrokerCheck Record, accessed on January 18, 2025. Read on if you want to know more about his alleged conduct.
Connecticut Regulatory Action
On December 18, 2024, the Banking Commissioner of the State of Connecticut issued an Order to Cease and Desist, Notice of Intent to Fine and Notice of Right to Hearing against Jason Goodhue.
The Commissioner alleged that Jason Goodhue exercised discretionary authority in a client’s account to effect securities transactions $73,000 in funds without the client’s authorization. It was allegedly also determined that certain electronic communications sent from the client’s email account relating to these transactions were fraudulent.
The Commissioner alleged that Jason Goodhue violated Sections 36b-4(b) and 36b-31-15b(a)(8) of the Connecticut Uniform Securities Act.
This regulatory action is currently pending.
Connecticut Uniform Securities Act
Section 36b-4(b) of the Connecticut Uniform Securities Act prohibits the use of dishonest or unethical practices in the offer, purchase, or sale of securities.
Section 36b-31-15b(a)(8) prohibits brokers from participating in dishonest and unethical practices defined under Section 36b-31-15a(a), including the execution of transactions without a client’s authority.
Background Information
Jason Goodhue has passed the following exams:
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
He is a registered broker in 17 states.
Jason Goodhue previously worked with Buell Securities (CRD#:1342).
Kurta Law Can Help
If you have been victimized by Jason Goodhue as a broker, don’t hesitate to get in touch with 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.