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Investor Claims Joey Cason Recommended Unsuitable Investments

Joey Cason (CRD #: 2455720), a broker registered with Triad Advisors, is involved in two pending disputes, according to his BrokerCheck record, accessed on June 20, 2022. Keep reading if you have questions about Joey Cason’s conduct as a broker.

Alleged Unsuitable Investment Recommendations

On April 19, 2022, multiple investors filed a dispute alleging that Joey Cason gave them unsuitable investment recommendations. They seek $100,001 in this pending dispute.

A dispute filed on January 14, 2022, names Joey Cason in allegations of unsuitable investment recommendations, as well as breach of contract and negligence. The claimant seeks $236,085 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to take into account an investor’s goals when recommending securities. 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 investment will be held)
  • Investing experience
  • Tax status

Investors who believe their losses were caused by unsuitable investment recommendations may be able to recover their losses by pursuing FINRA arbitration.

What qualifies as broker negligence?

Many broker behaviors can qualify as negligent, ranging from unsuitable investment recommendations to unauthorized trading. Investors who feel their losses were caused by broker negligence may be able to recover their losses through FINRA arbitration.

Tax Liens

From 2016-2020, Joey Cason faced $174,966.68 in tax liens.

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 a registered broker in California, Florida, Georgia, Louisiana, and Ohio.

He has also worked for the following firms:

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

Kurta Law Can Help

If you worked with Joey Cason and you have concerns about your investments, please contact us today at 877-600-0098 or 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.