DID BERNARD F JASMIN CAUSE YOU INVESTMENT LOSSES?
Bernard Jasmin Formerly With PHX Financial, INC. Has 4 Customer Complaints For Alleged Broker Misconduct
Who is Bernard Jasmin formerly with PHX Financial Inc.?
Bernard Jasmin (CRD #4442394) who was formerly registered with PHX Financial, INC. and located New York, New York City is a subject of one of our many securities industry sales practice abuse investigations. Prior to PHX Financial, Inc Bernard Jasmin was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Bernard Jasmin Customer Complaints
Bernard Jasmin has been the subject of 4 customer complaints that we know about seeking to recover investment losses. Two customer complaints were settled by Aura Financial Services for Bernard Jasmin’s alleged misconduct in favor of the investors. The other 2 customer complaints are FINRA arbitration proceedings filed against Bernard Jasmin’s former employer’s for his alleged misconduct and still pending.
Allegations Against Bernard Jasmin
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Unsuitable investment recommendations, churning, and unauthorized trading in breach of advisors fiduciary duties.
- Fraud, churning, unauthorized trading causing excessive commissions, and customer’s account.
- Unauthorized trading, unsuitability, overconcentration, excessive use of margin, fraud, negligence, breach of fiduciary duty, breach of contract and violations of the Securities Exchange Act of 1934 and NASD conduct rules.
- Unsuitable recommendations and churning.
Bernard Jasmin Red Flags & Your Rights As An Investor
Of course, Bernard Jasmin did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Bernard Jasmin at PHX Financial Inc on alert to review carefully the activity and performance of their accounts and question whether Bernard Jasmin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at PHX Financial Inc also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Investment Losses? We Can Help
Discuss your legal options with an attorney at The Law Offices of Robert Wayne Pearce, P.A.
or, give us a ring at (800) 732-2889.
File A Claim To Recover Your Investment Losses At PHX Financial Inc Due To Bernard Jasmin
If you have questions about PHX Financial Inc and/or Bernard Jasmin and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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