Jason Weese: Merrill Advisor Lands Investor Complaint

Bellevue, Washington financial advisor Jason Weese (CRD# 2288375) recently received an investor complaint alleging that his conduct resulted in losses. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with Morgan Stanley.

Mr. Weese’s BrokerCheck report discloses one investor complaint. Filed in December 2024, it alleges that as a representative of Merrill Lynch, he failed to follow instructions between October and December 2024. The pending complaint alleges unspecified damages.

Investors should be aware that FINRA Rule 2010 requires brokers like Mr. Weese to “observe high standards of commercial honor and just and equitable principles of trade.” A number of types of unethical conduct, including the failure to follow a client’s instructions, may be considered violations of Rule 2010, so long as the activities in question take place “in the conduct of [the member’s] business.” Advisors who violate FINRA Rule 2010 may be found liable in the event of losses in the customer’s account.

Merrill Lynch’s website includes a profile of Mr. Weese that describes his three decades of experience. “He is among the select few Financial Advisors recognized by Merrill Private Wealth Management as an accredited Private Wealth Advisor which demonstrates that he met the most rigorous standards of delivering depth of knowledge in wealth planning and investment advice to the most affluent families,” it explains. “He focuses on the spectrum of complex wealth issues that face High Net Worth individuals and businesses which includes estate planning needs, philanthropy, alternative investments, control and restricted securities, lending, hedging and monetization, portfolio management, investment banking, and in-depth wealth planning.”

According to the Financial Industry Regulatory Authority, Jason Weese holds 32 years of securities industry experience. Based in Bellevue, Washington, he has been registered as a broker and an investment advisor with Merrill Lynch since 2016. His past registrations include Morgan Stanley, Citigroup Global Markets, Lehman Brothers, and Fortis Investors. His credentials include the passage of six securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the Futures Managed Funds Examination, or Series 31; the General Securities Representative Examination, or Series 7; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 35 state licenses. (Information current as of December 30, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.