Last Updated: January 2024 (Mesa, AZ)
Kerri Jamison Investigation Summary
Here’s what you need to know about Mesa, AZ, stockbroker Kerri Jamison:
- Name: Kerri Suzanne Jamison
- Current Employer: Kovack Securities Inc.
- DBA:
- Previous Firms: Cape Securities,
- Function: Stock Broker/ Financial Advisor
- Aliases: Kerri Suzanne Lasegue, Kerri Suzanne Romero
- Primary Location: Mesa, AZ
- CRD 4348584
- Can Kerri Jamison be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages For Recommendation to Purchase Alternative Investments
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Kerri Jamison As Your Stockbroker?
In 11/2023 a customer of Newbridge Securities filed a FINRA arbitration alleging that Kerri Jamison breached her fiduciary and was negligent when she recommended an unsuitable alternative investment. No damage amount is specified yet in this currently pending matter.
See this for more information on REITs and Other Alternative Investments
Allegations of Broker Misconduct Against Kerri Jamison
A customer of Kerri Jamison has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation to invest in alternative investments
- Misrepresentation
- Negligence
- Breach of Contract
- Breach of Fiduciary Duty
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk. For more investigations involving Alternative Investments, see this.
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
Investigations of other Newbridge Securities brokers
If you have suffered investment losses in an account handled by Kerri Jamison, 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.
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. FINRA Rule 2111- suitability
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
