Close Menu
Free Consultation: 888-976-6111

Tarrytown Advisor Brian Jackson: Complaint Alleged Risky Investments

Wells Fargo Clearing Services financial advisor Brian Jackson (CRD# 4733834) recently received an investor complaint alleging he recommended unsuitably risky investments. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Tarrytown, New York.

Mr. Jackson’s BrokerCheck report discloses three investor complaints. The most recent, filed in April 2022, alleged that as a representative of Wells Fargo Advisors, he recommended risky investments to a customer with “no knowledge of how investments work.” The complaint alleged unspecified damages and was denied by the firm. (When a complaint is denied by the firm that receives it, for reference, this denial does not necessarily indicate that the claim was meritless. Investors can still pursue recovery through other avenues, like FINRA arbitration claims.)

An earlier investor complaint, filed in May 2020, alleged that as a representative of David Lerner Associates, he recommended unsuitable mutual fund and real estate investments. The complaint alleged damages of $101,000 and was closed with no action taken. 

A third investor complaint, filed in February 2016, alleged that he moved funds from one investment into another without the customer’s consent. The complaint alleged damages of $100,000 and was closed with no action taken.

According to the Financial Industry Regulatory Authority, Brian Jackson holds 18 years of securities industry experience. Based in Tarrytown, New York, he has been a broker and an investment advisor with Wells Fargo Clearing Services since 2018. He is also registered with the firm’s office in Katonah, New York. He was previously registered with David Lerner Associates in White Plains, New York from 2004 until 2018. His credentials include the passage of six securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Municipal Securities Principal Examination, or Series 53; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is licensed in California, Connecticut, Florida, Georgia, New Jersey, New York, North Carolina, Pennsylvania, Tennessee, and Vermont. (Information current as of September 3, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Juan Sosa: FINRA Bars Ex-SagePoint Advisor Over Conversion Allegations

    Former Studio City, California financial advisor Juan Sosa (CRD# 4059846) has been barred in connection with allegations that he converted...

    Read More
  • Joe Cucinotta: FINRA Suspends Independent Financial Advisor

    Radnor, Pennsylvania financial advisor Joe Cucinotta (CRD# 3272604) was recently suspended in connection with allegations that he falsified customer signatures....

    Read More
  • Robert Omohundro: LCORE Advisor Lands Suitability Complaint

    Atlanta financial advisor Robert Omohundro (CRD# 2415942) has received multiple investor complaints alleging that he recommended unsuitable investments, resulting in...

    Read More
  • Lucy Cueller: Suitability Complaint Against Northpoint Advisor

    Warrenville, Illinois financial advisor Lucy Cueller (CRD# 3089802) recently received an investor complaint alleging that she made unsuitable investment recommendations....

    Read More
  • Previous
  • Next