Jason Hunter Likens, of Orlando, Florida, a stockbroker formerly registered with International Assets Advisory, LLC, has been terminated from employment on January 31, 2017, based upon allegations that he failed to provide FINRA personnel with a response to FINRA’s request for information, which the firm claimed was conduct violative of FINRA Rule 8210. Likens was also terminated by his prior employer, Oppenheimer & Co., on August 3, 2016, based upon allegations that Likens violated his firm’s policies by borrowing funds from a firm customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Likens has been identified in three customer initiated investment related disputes containing allegations of Likens’ misconduct while employed with Oppenheimer & Co. Inc. and UBS Financial Services Inc. Specifically, on March 14, 2008, a customer filed an investment related written complaint involving Likens’ conduct, in which the customer requested $8,587.00 in damages based upon allegations that he did not execute the customer’s instructions to liquidate investments in the customer’s managed investment accounts.
Subsequently, on June 29, 2012, a customer filed an investment related written complaint regarding Likens’ activities, in which the customer requested $75,000.00 in damages based upon allegations that Likens effected over-the-counter equity transactions in the customer’s investment account which were neither suitable for the customer nor authorized. Further, on October 6, 2016, a customer initiated investment related written complaint involving Likens’ conduct was settled for $6,901.00 in damages based upon allegations that Likens made misrepresentations to the customer concerning the fees charged in the customer’s managed investment account.
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