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Investor Claims Joey Cason Recommended Unsuitable Investments

Mar 21, 2022 Unsuitable Investments

Joey Cason (CRD #: 2455720), a broker registered with Crown Capital Securities, L.P., is facing allegations of unsuitable investment recommendations. This information is drawn from Joey Cason’s BrokerCheck record, accessed on March 18, 2022. You can find more information about Joey Cason’s conduct as a broker below.

Unsuitable Investment Allegations

On December 30, 2021, an investor filed a complaint against Joey Cason, alleging unsuitable investment recommendations, breach of contract, breach of duty, and negligence. The investor is seeking $236,085; the dispute is currently pending.

What is an Unsuitable Investment?

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

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

IRS Tax Liens

Joey Cason is the subject of six tax liens totaling approximately $174,966.68.

Background Information

Joey Cason 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

Joey Cason is currently registered as a broker in 5 states.

He has worked for the following firms:

  • First Allied Securities, Inc. (CRD #:32444)
  • LPL Financial LLC (CRD #:6413)
  • ING Financial Partners, Inc. (CRD #:2882)
  • Sterne Agee Financial Services, Inc. (CRD #:18456)
  • Synovus Securities, Inc. (CRD #:14023)
  • Raymond James Financial Services, Inc. (CRD #:6694)
  • Edward Jones (CRD #:250)

Kurta Law Can Help

If you worked with Joey Cason 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 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.