DID JASON ROBERT GUEHL CAUSE YOU INVESTMENT LOSSES?
About Jason Guehl of Creative Planning?
Jason Guehl (CRD #4167362) is an experienced financial professional currently registered with Creative Planning since April 2012. Over his career, he has been affiliated with other notable firms such as Paragon Financial Partners and Strategic Advisers, Inc. He holds a Certified Financial Planner designation and has passed the Uniform Combined State Law Examination (Series 66). With over 20 years of industry experience, Jason has primarily focused on delivering investment advisory services, with an emphasis on tailored financial strategies for his clients.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Jason Guehl Customer Complaints and Reviews
Jason Robert Guehl has one reported customer dispute.
- Customer Dispute Filed: June 21, 2021:
- Allegations: The complaint included claims of negligence, intentional misrepresentation, breach of contract, and violations of California and Kansas securities regulations. The dispute centered on an options trading strategy implemented to manage a concentrated stock position.
- Alleged Damages: $15,000,000.
- Outcome: The matter was resolved through arbitration on July 7, 2023, with a settlement of $4,762,653. Jason did not contribute individually to the settlement amount.
Allegations Against Jason Guehl
Summary of Allegations:
- The dispute arose from Jason’s recommendation and implementation of an options strategy intended to generate income while limiting potential gains on a concentrated stock position. Allegations against him included negligence, misrepresentation, and breaches of state securities laws.
- While the dispute resulted in a substantial settlement, Jason contended that disclosures were provided, and the client approved the strategy before implementation.
Jason Guehl Employment History
- Current Registration:
- Creative Planning (CRD# 105348). April 2012–Present.
- Role: Investment Adviser Representative.
- Location: Walnut Creek, California.
- Previous Registrations:
- Paragon Financial Partners (Dec 2011): Registered briefly.
- Strategic Advisers, Inc. (Aug 2001–Dec 2010): Held a long-term role providing advisory services.
- Qualifications:
- Passed the Uniform Combined State Law Examination (Series 66) on July 19, 2001.
- Holds the Certified Financial Planner designation.
Investment Advisors Owe Clients The Highest Level Of Care
Investment advisors have a fiduciary duty to act in their clients’ best interests, ensuring transparency, fairness, and integrity in all advisory activities. This duty requires advisors to fully disclose the nature, mechanics, and risks of any recommended investment strategies. They must exercise a duty of care, providing recommendations based on thorough analyses of clients’ financial circumstances, risk tolerances, and investment goals. Fiduciary responsibilities also encompass avoiding conflicts of interest or managing them transparently to safeguard client interests.
Option Trading Can Be Extremely Risky
Options trading is a sophisticated and inherently risky investment strategy. Allowing advisors to engage in options trading on a client’s behalf can expose the client to significant financial risks, especially with high-risk strategies such as naked options or speculative straddles. For example, naked call writing, where an investor sells call options without owning the underlying asset, can result in unlimited losses if the stock price rises significantly. Investors should carefully evaluate their risk tolerance and ensure their advisor fully discloses potential outcomes before proceeding with such strategies.
Jason Guehl Red Flags & Your Rights As An Investor
Of course, Jason Guehl 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 Creative Planning on alert to review carefully the activity and performance of their accounts and question whether Jason Guehl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Creative Planning 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.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Creative Planning Due To Jason Guehl
If you have questions about about Creative Planning and/or Jason Guehl 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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