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Investor Alleges Jason Kunz Engaged in Unauthorized Trading

Jun 21, 2022 Unauthorized Trading

Jason Kunz (CRD #: 4565340), a broker registered with Raymond James Financial Services, is involved in a pending dispute, according to his BrokerCheck record, accessed on June 12, 2022. Read on to learn more about Jason Kunz’s conduct as a broker.

Investor Dispute

On April 22, 2022, an investor alleged Jason Kunz engaged in unauthorized trading in their account from February 6, 2020, through the date of filing. The client seeks $200,000 in this pending dispute.

FINRA Rule 3260

FINRA Rule 3260 limits brokers to exercising their trading discretion only in pre-authorized discretionary accounts. These accounts must be approved for this type of trading by both the client and the firm.

Background Information

Jason Kunz has passed the following exams:

  • 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
  • Series 10 - General Securities Sales Supervisor - General Module Examination
  • Series 9 - General Securities Sales Supervisor - Options Module Examination

Jason Kunz is a registered broker in 23 states and a registered investment adviser in Texas.

He has also worked for the following firms:

  • Raymond James & Associates (CRD#:705)
  • Edward Jones (CRD#:250)
  • Farmers Financial Solutions (CRD#:103863)

Kurta Law Can Help

If you worked with Jason Kunz and you have concerns about your investments, please contact 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.