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Jason Gopen Subject of Dispute Seeking Six Figures

Nov 14, 2022 Unsuitable Investments

Jason Gopen (CRD #: 5981937), a broker registered with J.P. Morgan Securities, was recently involved in an investor dispute, according to his BrokerCheck record, accessed on October 30, 2022. If you want to know more about his conduct as a broker, keep reading.

Investor Dispute

On September 22, 2022, an investor alleged Jason Gopen gave poor advice in relation to a managed account investment from February 14, 2020, through the date of filing. The client sought $413,729 but the dispute was denied by the firm.

Investors should know, however, that firms can deny disputes without an outside review. Investors can still seek out FINRA arbitration following a denial and may be able to recover their funds.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to evaluate whether an investment fits their investor’s financial goals. Brokers must take into account the information described in an investor’s profile, such as their risk tolerance, age, and tax status.

Investors who believe they have lost money due to unsuitable investment recommendations may be able to recoup their losses through FINRA arbitration.

Background Information

Jason Gopen has passed the following exams:

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

Jason Gopen is a registered broker in 10 states and a registered investment adviser in New Jersey and New York.

He has also worked for the following firms:

  • Capital One Advisors (CRD#:136865)
  • Capital One Investing (CRD#:45744)
  • National Asset Management (CRD#:115927)
  • National Securities Corporation (CRD#:7569)
  • Asset & Financial Planning (CRD#:110709)
  • Prime Capital Services (CRD#:18334)

Kurta Law Can Help

If you worked with Jason Gopen and you have concerns about your investments, please contact us today at 877-600-0098 or 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.