FINRA Broker Check: Jacob Robert Craton
Disclosure Events
The Following Types Have Been Reported:
- 1 Regulatory Event
- 1 Customer Dispute
- 1 Termination
Regulatory Event
Reporting Source: Regulator
Employing Firm: UBS Financial Services INC
Allegations: Findings stated that Craton deprived the firm of the opportunity to act in accordance with its system and procedures by changing the terms of an order to bypass principal review and approval
MONETARY SANCTIONS: $5,000
Pending Customer Disputes
Reporting Source: Firm
Employing Firm: UBS Financial Services INC
Allegations: Misrepresented stock and short option positions, and that the recommendation of those positions were inconsistent with his investment objectives, risk tolerance and financial resources
Alleged Damages: $499,000
- Docket/Case: 16-03754
- # Date Notice: 01-04-17
Employment Separation After Allegations
Reporting Source: Firm
Employing Firm: UBS Financial Services INC.
Allegations Alleged Damages: Mr. Craton’s employment was terminated on July 30th 2012 when management lost confidence in his ability to perform the responsibilities of his role.
- Docket/Case: 17-00474
- # Date Notice: 02-17-17
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It was only after I engage Mr. Vernon and his that I began to have hope, I cannot commend Mr. Vernon and his assistant enough. He was able to successfully recover the assets, where many had failed.
L.B., Managing Member of Cayman Island based investment firm
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