Jason Dipaola, Formerly of Chardan Capital Markets, Named in FINRA Investigation Following Allegations of Trading in His Mother’s Account

Dipaola is accused of exercising discretion in his mother’s investment account without written authorization and without notifying his member firm.

jason-dipaola-named-in-finra-investigationJason “Jay” Dipaola (CRD: 2648836) was registered as a broker with Chardan Capital Markets from 2013 until 2019. Previously, Dipaola was registered as a broker with Aegis Capital Corp. from 2012 until 2013.

Dipaola has three disclosures on his BrokerCheck report.

May 2021 Regulatory Judgment

April 2019 Employment Separation After Allegations

March 2008 Customer Dispute

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The Sonn Law Group is currently investigating allegations surrounding Jason Dipaola. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.