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Jason Norton is Facing a Suitability Dispute

Jason Norton (CRD #: 477196), a broker registered with LPL Financial, is the subject of an investor dispute. This is according to his BrokerCheck record, accessed on March 12, 2024. Keep reading if you have questions regarding this dispute. 

Investor Dispute 

On February 8, 2024, an investor alleged that Jason Norton recommended investments that were unsuitable for the investor’s risk tolerance. 

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 Norton has passed the following exams:

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

He is a registered broker in eight states and is a registered investment adviser in Alabama, Florida, Georgia, South Carolina, and Texas. 

During his 19 years of experience, he has registered with four firms: 

  • LPL Financial (CRD #: 6413) 
  • Independent Advisor Alliance (CRD #: 168267) 
  • Independent Financial Partners (CRD #: 125112) 
  • LPL Financial (CRD #: 6413) 
  • Waddell & Reed (CRD #: 866) 

Kurta Law Can Help 

If you have worked with Jason Norton and you 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.

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