Joseph “Joey” Cason Investigation
May, 2022 – Brunswick, GA
The FINRA records of Joseph “Joey” M. Cason, a broker currently employed by Triad Advisors, who was previously employed by First Allied Securities, Inc. disclose 2 pending customer dispute and a 6 tax liens.
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 9/2021, FINRA case#21-02496 was filed by a First Allied Securities, Inc. customer alleging that Cason recommended unsuitable investments (real estate investment trusts REITs) and is seeking $100,000 in damages. This case is pending.
In 10/2021, FINRA case #21-02691 was filed by another First Allied Securities, Inc., customer alleging that Cason recommended unsuitable investments , as well as breach of contract, breach of fiduciary duty and negligence. The damages sought are $236,085 and the case is still pending.
From 5/2016 to 4/2020 6 state and federal tax liens have been filed against Cason with a collective total of about $175,000. These liens, filed in in Glynn County, GA, are currently outstanding.
Cason has been with employed with Triad Advisors since 3/2016. Before that he was with First Allied Securities, Inc. and LPL Financial.
Cason discloses business affiliations with Parable Financial Network in Brunswick, GA.
If you have questions about an account handled by Joseph “Joey” Cason, call for a no charge consultation with an experienced securities attorney .
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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