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Lisa Jacques is Facing a Variable Annuity Dispute

Lisa Jacques (CRD #: 5440240), a broker registered with Osaic Wealth, is the subject of an investor dispute. This disclosure appears on her BrokerCheck record, accessed on February 2, 2024. Keep reading if you have questions. 

On October 16, 2023, an investor alleged that Lisa Jacques misrepresented the redemption of fixed annuities and the purchase of variable annuities. This misrepresentation allegedly resulted in losses, but the dispute was denied by the firm. The investor sought $75,936.94. 

Investors should know, however, that firms can deny disputes without an external review. Investors may be able to recover their losses after a denial by pursuing FINRA arbitration


FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

FINRA Rule 2330

FINRA Rule 2330 requires brokers to have a reasonable basis to believe that their recommendation of a deferred variable annuity is suitable for the investor.

Background Information 

Lisa Jacques has passed the following exams:

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

She is a registered broker in 11 states. 

Lisa Jacques has registered with the following firms: 

  • Osaic Wealth (CRD #: 23131) 
  • Sagepoint Financial (CRD #: 133763) 

Kurta Law Can Help 

If you have worked with Lisa Jacques and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.