DID JASON SCOTT WILLIAMS CAUSE YOU INVESTMENT LOSSES?
Jason Williams Of Royal Alliance Associates And Formerly With Cetera Investment Services, Cetera Investment Advisers And LPL Financial Has A Customer Complaint For Alleged Broker Misconduct
Who is Jason Williams of Royal Alliance Associates?
Jason Williams (CRD #3087614) who is currently registered with Royal Alliance Associates and located in Wailuku, Hawaii is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Jason Williams was associated with Cetera Investment Services, Cetera Investment Advisers, LPL Financial and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Jason Williams also had some regulatory problems. In 2007, FINRA investigated him a failure to disclose material information in connection with the offer and sale of securities by omitting to inform clients that the securities products were being offered through LPL financial and were not bank products and therefore not FDIC insured. Without admitting or denying the allegations, Jason Williams consented to a fine of $10,000.
Jason Williams Customer Complaint
Jason Williams has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were Jason Williams did not disclose all the fees associated with the purchase. Jason Williams’ customer complaint was denied and, to date, the customer has not taken any further action.
Jason Williams Red Flags & Your Rights As An Investor
Of course, Jason Williams 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 Williams at Royal Alliance Associates, Cetera Investment Services, Cetera Investment Advisers, and LPL Financial on alert to review carefully the activity and performance of their accounts and question whether Jason Williams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Cetera Investment Services, Cetera Investment Advisers, and LPL Financial also raises questions about the brokerage firm’s 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 Royal Alliance Associates Due To Jason Williams
If you have questions about Royal Alliance Associates, Cetera Investment Services, Cetera Investment Advisers, LPL Financial, and/or Jason Williams 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.