DID JASON GREGORY PENCE CAUSE YOU INVESTMENT LOSSES?
Jason Pence Of Charles Schwab Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Jason Pence of Charles Schwab?
Jason Pence (CRD #4473386) who is currently registered with Charles Schwab and located in Westlake, Ohio is a subject of one of our many securities industry sales practice abuse investigations.
Jason Pence Customer Complaints
Jason Pence has been the subject of 2 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Jason Pence’s 2 customer complaints was settled in favor of investors. One of Jason Pence’s customers’ complaints was denied and, to date, the customer has not taken any further action.
Allegations Against Jason Pence
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Client alleged trades placed by Jason Pence on May 15, 2020 were unauthorized.
- Client claimed that Jason Pence allegedly neglected to disclose surrender charges for an American Express Rava Variable Annuity carrying a 10 year surrender schedule.
Jason Pence Red Flags & Your Rights As An Investor
Of course, Jason Pence 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 Pence at Charles Schwab on alert to review carefully the activity and performance of their accounts and question whether Jason Pence has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab 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.
File A Claim To Recover Your Investment Losses At Charles Schwab Due To Jason Pence
If you have questions about Charles Schwab and/or Jason Pence 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.