Investor Alleges Jason Kunz Engaged in 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.
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.
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 firstname.lastname@example.org 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.