California Securities Fraud Attorney Call Today 800-699-1881
California Securities Fraud Lawyer Firm Overview Attorney Profiles Recoveries Obtained Frequently Asked Questions Testimonials Contact Us
information center
Attorney Advertising Disclaimer
Securities
Broker Misrepresentation
Brokerage Firms Sued
FINRA
Structured Products
Hedge Fund Losses
Recognizing Investment Losses
Recovery of Investment Loss
Securities Arbitration
Reverse Convertible
Misconduct
Securities Fraud
Securities Mediation
Securities Litigation
Stock/ Investment Losses
Suitability/ Unsuitability
Unauthorized Trading
Common Claims
Products
Frequently Asked Questions
Attorney Referrals
Video Center
securities fraud blog
legal blog Click here for a free case evaluation. Read our Articles on Securities Related Issues here. have a question resources
contact us
Name:
Email:
Phone:
Are you a new client?
Message:
10 Avvo avvo badge
If you need help recovering your losses contact us today. View our complete list of brokerage firms and banks we've sued.

FINRA Bars Jason Robert Cavalier for Failure to Disclose Material Facts, Lack of Cooperation with Investigation

The Financial Industry Regulatory Authority (FINRA) barred registered principal Jason Robert Cavalier of Simi Valley, California, for allegedly willfully failing to disclose that he was a defendant in a civil action filed in US District Court and subsequently failing to cooperate with FINRA's investigation into the alleged misconduct.

FINRA Case #2011026189201

While associated with First Heartland Capital, Inc., Cavalier was named in a 2010 lawsuit (CV10-01554-JFW) that alleged, among other charges, breach of fiduciary duty, fraud, negligent misrepresentation and sales of unregistered securities. According to FINRA By-Laws, such a charge required an amendment of the Form U4 to reflect this status. According to the Authority, Cavalier failed to amend his U4.

On May 16, 2012, Cavalier was to appear for an on-the-record interview with FINRA related to the alleged U4 misconduct. Instead of appearing, Cavalier stated he would not cooperate with FINRA's investigation, in violation of further FINRA Rules. FINRA subsequently barred him from the securities industry.

If you have invested with Jason Robert Cavalier or any broker whose failure to disclose material facts have resulted in harm to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.

accolades
The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
Website: