Jason Lavigne Allegedly Recommended Unsuitable Alternative Investments

Jason Lavigne (CRD #: 4499856), a broker registered with Triad Advisors, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on March 1, 2024. Details concerning this dispute are provided below. 

Investor Allegations 

On November 20, 2023, investors alleged that Jason Lavigne recommended unsuitable alternative investments. The investor is seeking $203,000. 

What is an Unsuitable Investment?

FINRA Rule 2111 requires brokers to evaluate whether an investment strategy fits their investor’s financial goals. Brokers must examine the investor’s profile, which contains the following investor characteristics:

• Age
• Risk tolerance
• Time horizon (i.e., how long the investor plans to hold the investment)
• Investing experience
• Tax status
• Financial goals

Investors who rely on brokers for recommendations may be able to recover losses from unsuitable investment recommendations by pursuing FINRA arbitration.

Background Information 

Jason Lavigne 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 
• Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in ten states and is a registered investment adviser in Florida, New Jersey, New York, and Pennsylvania. 

During his 22 years of experience, Jason Lavigne has registered with four firms: 

• Triad Advisors (CRD #: 25803) 
• Blue Water Financial (CRD #: 171285) 
• ING Financial Partners (CRD #: 2882)
• Prudential Financial Planning Services (CRD #: 5685) 

Kurta Law Can Help 

If you have worked with Jason Lavigne and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com 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 that 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. Do not let securities fraud go unchecked. Start your recovery process today.