JASON MICHAEL TOPPER is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 7210 Corporate Court, Suite A, FREDERICK, MD, 21703.
JASON MICHAEL TOPPER has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since June 19, 2015
Disclosure History
JASON MICHAEL TOPPER has 1 Disclosure Event(s).
Date: June 19, 2015 Category: Employment Separation After Allegations Firm Name: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED Termination Type: Discharged Allegations: CONDUCT INVOLVING ALLOWING A NON COMPANY EMPLOYEE TO ACCESS REGISTERED REPRESENTATIVE'S FIRM ISSUED LAPTOP COMPUTER IN ORDER TO FACILITATE OPENING A NEW CLIENT ACCOUNT. Broker Comment: IN THIS UNIQUE SITUATION, WHILE OUT OF THE COUNTRY ON VACATION, RR TRIED TO ASSIST A NEW CLIENT BY FACILITATING THE OPENING OF THEIR ACCOUNT. PRIOR TO THE TRIP, RR UNDERSTOOD THE ACCOUNT TO BE IN GOOD ORDER. THIS WAS NOT THE CASE. RR ATTEMPTED TO COMPLETE THE ACCOUNT OPENING PROCESS REMOTELY. THERE WAS NO INTENTION TO VIOLATE COMPANY POLICY, ONLY THE SENSE OF URGENCY TO ASSIST THE CLIENT WITH THEIR ACCOUNT. RR'S PRACTICE IS FOCUSED ON DOING WHAT IS BEST FOR RR'S CLIENTS.
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