Jason Keith Norton, of Carrollton, Georgia, a stockbroker registered with LPL Financial LLC, is the subject of a customer initiated investment related complaint filed on August 12, 2024, in which the customer requested $81,957.00 in damages based upon allegations that Norton made misrepresentations of material fact in connection with the sale of real estate securities when Norton was associated with LPL Financial LLC. This complaint was denied. According to FINRA Public Disclosure, ‘the advisor denies guaranteeing dividends, liquidity, or performance. After favorable returns on an initial REIT purchase, the client inquired about and purchased the investment subject to this complaint. Before each purchase, the client attested that he understood that there were no guarantees regarding dividends, liquidity, or performance for each product. The client’s accrued dividends and current investment value are GREATER than his purchase price; thus, he has not realized ANY losses on the investment. LPL and the advisor deny the client’s claim as it is baseless and without merit.”
This is not the first time that Norton has been referenced in a customer initiated investment related dispute concerning Norton’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Norton was also referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested damages exceeding $5,000.00 based upon allegations that Norton made unsuitable recommendations in real estate securities when Norton was associated with LPL Financial LLC. FINRA Arbitration No. 24-01460 (July 2, 2024).
Norton has been associated with LPL Financial LLC in Carrollton, Georgia since July 20, 2011. Norton was associated with Independent Financial Partners in Carrollton, Georgia from July 22, 2011 to September 26, 2018.
