Jason Tarver Investigation
May, 2022 – Frisco, TX
The FINRA records of Jason Tarver a broker currently employed by Merrill Lynch, Pierce, Fenner & Smith, disclose recent settlement of a customer dispute.
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#20-04179, filed by a Merrill Lynch, Pierce, Fenner & Smith customer was settled for $2 million. The customer alleged that Tarver recommended an unsuitable investment strategy when a line of credit was opened and inappropriately leveraged against annuities. She also alleged that she did not authorize the opening of a line of credit as well as wire transfers initiated by her then husband between 2017 and 2019 and that her signature was forged by her former husband on opening documents for a loan management account.
Tarver has been with employed with Merrill Lynch, Pierce, Fenner & Smith since 1/1996.
If you have questions about an account handled by Jason Tarver, 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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