Last Updated: June 2024 (Winter Park, FL )
Samuel Jacobs Investigation Summary
Here’s what you need to know about Winter Park, FL, stockbroker Samuel Jacobs:
- Name: Mr. Samuel Jordan Jacobs
- DBA: Key Investment Group
- Current Employer: LaSalle St. Securities
- Previous Firms: Peregrine Financials & Securities
- Function: Stock Broker/ Financial Advisor
- Aliases: Sam Jacobs
- Primary Location: Winter Park, FL
- CRD 2243093
- Can Sam Jacobs be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of $217,478
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Samuel Jacobs As Your Stockbroker?
A customer of LaSalle St. Securities filed a FINRA arbitration in 4/2024 alleging that Sam Jacobs made unsuitable recommendations in their account from July 2021-May 2023. Damages of $217,478 are sought in this currently pending matter.
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability -Regulation Best Interest
Allegations of Broker Misconduct Against Samuel Jacobs
Customers of Sam Jacobs have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
[LEARN MORE]: See this for more information on REITs and Other Alternative Investments
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.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Sam Jacobs, contact us for a complimentary consultation with an experienced securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.