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Jerome Aron is Facing Allegations of Misrepresentation

Jerome Aron (CRD #: 5213998), a broker registered with LPL Financial, is the subject of an investor dispute, according to his BrokerCheck record, accessed on October 24, 2023. Keep reading if you have questions about his alleged conduct. 

On August 28, 2023, an investor alleged that Jerome Aron misrepresented the features of an investment product. The investor is seeking $50,000 in this pending dispute. 

FINRA Rule 2020 – Misrepresentation & Omission

FINRA Rule 2020 prohibits the misrepresentation of investments or omission of material facts. Material facts include information about an investment’s potential returns, as well as charges, expenses, and fees. Brokers also must not omit information such as potential tax consequences and risks. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate this rule. 

Background Information 

Jerome Aron 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 

He is a registered broker in ten states and is a registered investment adviser in California and Texas. 

Jerome Aron has registered with the following firms: 

  • LPL Financial (CRD #: 6413) 
  • Western International Securities (CRD #: 39262) 
  • Financial West Group (CRD #: 16668) 
  • Southwest Securities (CRD #: 6220) 
  • M.L. Stern & Co. (CRD #: 8327) 

Kurta Law Can Help

If you worked with Jerome Aron and 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 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.

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