According to a recent Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), Jason Likens allegedly borrowed money from two customers without the approval of his firm and made false attestations to his firm on two annual compliance questionnaires. These are against securities rule and regulations. For this he was fined $10,000 and suspended from the industry for 15 months. He was previously registered with Wachovia Securities in St. Louis, Missouri from January 2004 until January 2004, UBS in Asheville, North Carolina from March 2005 until November 2008, Stanford Group Company in Asheville from November 2008 until March 2009, Oppenheimer in Asheville from March 2009 until August 2016 and International Assets Advisory in Orlando, Florida from August 2016 until February 2017. He has three customer disputes against him, and he is currently not registered within the industry. Please call our securities law firm today to find out how you may be able to recover your losses by suing Oppenheimer on a contingency fee basis, which means we only get paid if your recover your losses. Please call today, as there is a statute of limitations on most cases.
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