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Investor Seeks Over $3.7 Million in Damages in Dispute with Jason Walsh

Jason Walsh (CRD #: 5758243), a broker registered with PHX Financial, is involved in a pending dispute, according to his BrokerCheck record, accessed on June 13, 2023. If you want to know more about his alleged conduct as a broker, read on.

Investor Dispute

On May 22, 2023, an investor filed a pending dispute against Jason Walsh alleging misconduct from December 2012 through October 2022. The client seeks $3,767,261.79 in damages.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Tax Lien

On August 30, 2019, Jason Walsh incurred a $23,422.12 tax lien.

Background Information

Jason Walsh has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Jason Walsh is a registered broker in 37 states and the District of Columbia.

He has also worked for the following firms:

  • Network 1 Financial Securities (CRD#:13577)
  • Joseph Gunnar & Company (CRD#:24795)
  • National Securities Corporation (CRD#:7569)
  • Obsidian Financial Group (CRD#:104255)
  • John Thomas Financial (CRD#:40982)
  • First Midwest Securities (CRD#:21786)

Kurta Law Can Help

If you worked with Jason Walsh 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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