Qiong Zhang Jackson (CRD#6444001) Customer Complaint

This blog post examines some important information about Qiong Zhang Jackson that has been made public on FINRA’s BrokerCheck platform. The information below is based on her BrokerCheck record, accessed on January 24, 2026.

BrokerCheck link: FINRA BrokerCheck Profile

BrokerCheck report: BrokerCheck Report (PDF)

Investor Disputes / Customer Complaints

Qiong Jackson’s FINRA BrokerCheck Report reflects one pending customer dispute disclosure. A summary of the dispute is below:

On November 13, 2025, claimants alleged that Qiong Jackson failed to protect them from a scam that liquidated their accounts. The disclosure reflects the matter is pending in FINRA arbitration, and the claimants are seeking $2,000,000 in alleged damages.

Rule Summary #1: FINRA Rule 3110 (Supervision)

FINRA Rule 3110 requires member firms to establish and maintain a supervisory system that is reasonably designed to achieve compliance with applicable securities laws and FINRA rules. When investors report losses tied to scams or unauthorized activity, this rule can become relevant because it addresses whether the firm maintained and enforced appropriate supervisory procedures.

Rule Summary #2: FINRA Rule 2010 (Standards of Commercial Honor and Principles of Trade)

FINRA Rule 2010 broadly requires members to observe high standards of commercial honor and just and equitable principles of trade. Customer complaints involving alleged mishandling of accounts, inadequate safeguards, or other unethical conduct are often evaluated through the lens of this rule.

Why This Matters to Investors (Regulation Best Interest)

Regulation Best Interest (Reg BI) is a U.S. securities regulation designed to strengthen the standard of conduct that broker-dealers owe to retail investors when making recommendations about securities transactions or investment strategies. Adopted by the U.S. Securities and Exchange Commission and effective as of June 30, 2020, Reg BI aims to enhance investor protection while preserving investor access to brokerage products and services.

Reg BI requires broker-dealers and financial advisors to act in the best interest of the retail customer at the time a recommendation is made, and not to place their own financial or other interests ahead of the customer’s. This represents a higher standard than the historical “suitability” requirement, which only required that recommendations be suitable, not necessarily optimal or conflict-free.

Reg BI is built around four key obligations:

1. Disclosure Obligation – Broker-dealers must disclose material facts about the relationship and recommendations, including fees, scope of services, and conflicts of interest.
2. Care Obligation – Recommendations must be made with reasonable diligence, care, and skill, considering costs, risks, and alternatives.
3. Conflict of Interest Obligation – Firms must identify, disclose, and mitigate or eliminate conflicts, particularly those that create incentives to favor one product over another.
4. Compliance Obligation – Firms must establish policies and procedures designed to ensure compliance with Reg BI as a whole.

Importantly, Reg BI applies at the recommendation level, not as a continuous duty like the fiduciary standard applicable to registered investment advisers. Still, it significantly narrows the gap by emphasizing cost considerations, conflict management, and investor-focused decision-making.

Overall, Regulation Best Interest seeks to promote transparency, improve the quality of investment recommendations, and reinforce trust between retail investors and broker-dealers in the U.S. securities markets.

Background Information (from BrokerCheck)

Based on her BrokerCheck Report, Qiong Jackson:

Is currently registered as a broker and investment adviser with Ameriprise Financial Services, LLC.

Has passed the Securities Industry Essentials (SIE), Series 66, and Series 7 exams.

Was previously registered with Edward Jones.

Kurta Law Can Help

If you have worked with Qiong Jackson and you have concerns about her activity, Kurta Law may be able to help you evaluate potential recovery options. You may be entitled to pursue a claim through FINRA arbitration, depending on the facts of your situation and the investments involved. Contact Kurta Law at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

Helpful resources: Stockbroker Fraud | FINRA Stock Fraud Arbitration Steps

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