National investment loss lawyers KlaymanToskes is investigating broker Brian Jones (CRD# 4203098) of Cambridge Investment Research, who has been suspended from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following his alleged participation in two private securities transactions, totaling $100,000, without providing prior written notice to his firm.
According to FINRA BrokerCheck, broker Brian Jones is currently registered with Cambridge Investment Research in Pilot Grove, IA. FINRA’s investigation found that Jones recommended and facilitated investments in a private placement offering without first providing written notice of the transactions to his firm. As a result, Jones violated FINRA Rule 3280 and Rule 2010.
While associated with Cambridge, Jones also was reportedly associated with a Cambridge-affiliated investment adviser that was registered with the U.S. Securities and Exchange Commission (SEC). In December 2020, Jones allegedly recommended and facilitated investments in a private placement offering by two of his investment advisory customers. Each customer reportedly invested $50,000 in the offering, which was not on the list of investments that Cambridge or its affiliated investment advisor had approved for sale to its customers.
Investors that suffered losses with broker Brian Jones are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The articles linked below contain important information relating to KlaymanToskes’ investigation of broker Brian Jones:
If you suffered losses with broker Brian Jones, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorneys fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Brian Jones. These signs could potentially indicate broker misconduct, negligence, or investment fraud. Investors are encourage to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA, brokerage firms such as Cambridge Investment Research are responsible for the supervision of all of the activities of their registered brokers and investment advisors. Investors may be entitled to a financial recovery if their brokerage firm failed to supervise the representative managing their brokerage account, and/or if their broker/advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate the specific circumstances of your case is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker Brian Jones or have concerns regarding your investment portfolio at Cambridge Investment Research, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss recovery options.