JASON CHARLES HASWELL

JASON CHARLES HASWELL is currently employed as a Broker and/or Investment Adviser at ROYAL ALLIANCE ASSOCIATES, INC. located at 2001 MAIN STREET, SUITE 402, WHEELING, WV, 26003.

JASON CHARLES HASWELL has worked at ROYAL ALLIANCE ASSOCIATES, INC. since January 25, 2016

Disclosure History

JASON CHARLES HASWELL has 2 Disclosure Event(s).

Date: April 10, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGES FINANCIAL ADVISOR INCORRECTLY GAVE HER VERBAL CONFIRMATION OF THE SALE OF 40 CALLS AT $2
Damage Amount Requested: $8,000.00

Date: December 01, 2000
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT HER FORMER FINANCIAL ADVISOR, JASON HASWELL, RECOMMENDED SECURITIES THAT WERE UNSUITABLE BASED ON CUSTOMER'S RISK TOLERANCE.
Damage Amount Requested: $19,616.40
Broker Comment: THIS COMPLAINT CAME IN WHEN I LEFT PRUDENTIAL. I WAS NOT MADE AWARE OF IT UNTIL THIS AMENDMENT. CUSTOMER'S CLAIMS ARE WITHOUT MERIT. THE TECH STOCKS WERE A SMALL PORTION OF HER ASSETS AND SHE WAS AWARE OF ALL VOLATILITY AND RISK. DAMAGE CALCULATION IS ALSO NOT ACCURATE.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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