June 2017 – Jacksonville, FL
The FINRA records of Jarred M. Lawson, a stockbroker who is currently not registered disclose a final regulatory event and a termination.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In March of 2017, agreed to a one year suspension and a $10,000 fine to resolve FINRA allegations that he made negligent misrepresentations or omissions during telephone calls with customers regarding the sale of mutual funds. Lawson is suspended in all capacities from April 3, 2017 to April 2, 2018.
In January of 2016, Lawson was discharged from Merrill Lynch who made the following allegation in connection therewith: “conduct involving failure to make disclosures related to mutual fund transactions”.
Lawson was employed by Merrill Lynch from 11/2012-2/2016 and with Edward Jones from 8/2012-11/2012.
If you have questions about an account handled by Jarred M. Lawson, call for a no charge consultation.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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