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Investor Alleges Jason O’Brien Misled Her

Jason O’Brien (CRD #: 6515539), a broker registered with Edward Jones, was involved in a recent dispute, according to his BrokerCheck record, accessed on June 20, 2022. Read on to learn more about Jason O’Brien’s conduct as a broker.

Investor Dispute

On April 19, 2022, an investor alleged that Jason O’Brien took advantage of her age by misleading and misadvising her with regard to the handling of her accounts, including by lying, deceiving her, and manipulating facts. This dispute was denied by the firm.

However, investors should be aware that firms can deny disputes without an external review. Investors may be able to recover their losses following a denial by pursuing FINRA arbitration.

FINRA Rule 2020

FINRA Rule 2020 prohibits the use of deceptive, manipulative, and otherwise fraudulent tactics to influence investors’ decisions. This includes the omission or misrepresentation of information related to investments, such as any risks, costs, or limitations an investment may have.

Elder abuse is also of special concern to securities regulators. 

Background Information

Jason O’Brien 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

Jason O’Brien is a registered broker in 18 states and a registered investment adviser in Illinois and Texas.

He has also worked for Midwestern Securities Trading Company (CRD#:101080) and Prudential Financial Planning Services (CRD#:5685).

Kurta Law Can Help

If you worked with Jason O’Brien 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. 

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