August 22, 2024 – An AWC was issued in which Jackson was assessed a deferred fine of $5,000 and suspended from association with any FINRA member in all capacities for one month. Without admitting or denying the findings, Jackson consented to the sanctions and to the entry of findings that he made promissory, unwarranted, and exaggerated claims in individual email communications he sent to customers, including unwarranted predictions and projections of future performance. The findings stated that those emails were also not fair and balanced because they omitted key risks associated with the specific stocks or industries discussed in them.
The suspension was in effect from September 3, 2024, through October 2, 2024.
(FINRA Case #2022076868701)
If you have suffered losses as a result of Richard Joseph Jackson's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Richard Joseph Jackson. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-618-0545 or email Matthew Schwartz directly at mschwartz@tslfirm.com.
Matthew Schwartz
Matthew Schwartz represents clients harmed by lawyers, accountants, insurance professionals, real estate agents, brokers, financial advisors, and other trusted professionals. He handles Florida litigation and nationwide FINRA arbitration. He has been recognized in The Best Lawyers in America® and named to the Best Law Firms® list.
More about Matthew