Did Jason Likens Cause you Investment Losses?
Jason Likens, a former registered representative associated with Oppenheimer & Co., Inc. (Oppenheimer), submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he agreed to, but did not admit or deny, the findings that he borrowed money from his customers and did not repay the loans until repeated requests were made. FINRA’s findings stated that Jason Hunter Likens of Asheville, North Carolina approached an elderly customer with significant health issues to borrow $5,000 on two separate occasions in the same month. The customer provided the loans to Mr. Likens on both occasions. FINRA found that Mr. Likens failed to repay the loans as scheduled and did not do so until the customer and his family made repeated requests. According to FINRA, Mr. Likens approached another customer to borrow $13,500 and that customer also provided the loan. FINRA found that Mr. Likens again failed to repay the loan until the customer made repeated requests. FINRA also found that Mr. Likens failed to disclose the loans to his member firm and falsely stated on compliance questionnaires that he had not borrowed money from any customer. Consequently, Jason Likens was suspended from association with any FINRA member for 15 months and assessed a deferred fine of $10,000.
North Carolina has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisor offices, comes the potential for their stockbrokers, financial advisors, and other representatives to engage in all kinds of stockbroker misconduct which violates Federal and North Carolina securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures.
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Are you a North Carolina investor who has suffered significant losses in your stock brokerage and investment accounts? Did your North Carolina stockbroker or investment advisor, misrepresent facts, fail to disclose facts making the statements made false and misleading, recommend unsuitable investments or strategies, excessively trade or churn, mismanage your investment account or engage in other kinds of stockbroker misconduct? If so, you need representation by an experienced, highly-rated and nationally recognized FINRA securities arbitration attorney—a lawyer who knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases as well as other complex legal issues.
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At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout North Carolina, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award.
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Free Initial Consultation With Experienced FINRA Securities Arbitration Lawyers Serving North Carolina Residents In FINRA Arbitration Proceedings
The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving North Carolina citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.