DID JASON KEITH NORTON CAUSE YOU INVESTMENT LOSSES?
Jason Norton Of LPL Financial LLC Has 2 Customer Complaints For Alleged Broker Misconduct
About Jason Norton of LPL Financial LLC?
Jason Norton (CRD #4776196) is an experienced financial advisor currently registered with Independent Advisor Alliance, LLC since September 24, 2018, and LPL Financial LLC since July 20, 2011. Over his career, Norton has passed three significant industry exams, including the General Securities Representative Examination (Series 7) and the Uniform Combined State Law Examination (Series 66). He is licensed in eight U.S. states and territories. Norton’s professional background includes prior registrations with firms such as Independent Financial Partners and Waddell & Reed, Inc. He also operates Norton Financial, Inc., where he provides investment-related services.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Jason Norton Customer Complaints and Reviews
Jason Norton has two customer disputes disclosed in his BrokerCheck record:
- Customer Dispute (Closed with No Action)
- Incident: A customer alleged in February 2024 that investments made in 2014 were unsuitable for their investment objectives and risk tolerance. The dispute was filed with FINRA but was later withdrawn on June 5, 2024. Norton denied all allegations, stating that the recommendations were suitable and consistent with the customer’s objectives.
- Customer Dispute (Pending)
- Incident: Another customer re-filed a similar complaint in July 2024, also concerning investments made in 2014 that were allegedly unsuitable for their investment objectives and risk tolerance. This dispute is currently pending with FINRA arbitration. Norton denies the allegations, asserting that all recommendations were appropriate, and that the customer fully understood the risks involved.
Allegations Against Jason Norton
- Customer Dispute Allegation (February 2024): The customer alleged that the investments made in 2014 were unsuitable for their investment objectives and risk tolerance. The case was later withdrawn, and Norton maintained that the investments were suitable.
- Customer Dispute Allegation (July 2024): The re-filed complaint reiterates the claims of unsuitable investments made in 2014, with the customer seeking damages exceeding $5,000. The case remains unresolved, and Norton denies any wrongdoing, emphasizing that the customer was fully informed of all risks.
Jason Norton Red Flags & Your Rights As An Investor
Of course, Jason Norton 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 Jason Norton at LPL Financial LLC on alert to review carefully the activity and performance of their accounts and question whether Jason Norton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at LPL Financial LLC also raises questions about the brokerage firms’ 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 LPL Financial LLC Due To Jason Norton
If you have questions about LPL Financial LLC and/or Jason Norton 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.
Rate this Post
Loading...