Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has initiated an independent investigation into Jessica Y. Jung (CRD #4922155), a Brentwood, Tennessee-based financial advisor currently registered with Cambridge Investment Research and previously associated with Aegis Capital Corp. and LPL Financial LLC. We are leveraging our extensive former Wall Street defense experience to assess allegations and reported red flags related to Ms. Jung’s conduct. If you experienced losses or suspect improper actions in accounts managed by Jessica Jung, we strongly encourage you to contact our attorneys for a free consultation at 1-888-885-7162 to discuss how your recovery options may be pursued.
Our firm’s 98% success rate, 95+ years of combined experience, and recovery involvement in over $520 million of securities matters make us uniquely positioned to advocate for your financial future. Read on for a detailed, fact-based review of the key developments and active complaints involving Ms. Jung, and actionable next steps to help safeguard your interests.
Who Is Jessica Y. Jung? – Background & Broker-Dealer History
Table of Contents
| Advisor Name | CRD Number | Current Broker-Dealer | Prior Broker-Dealers |
|---|---|---|---|
| Jessica Y. Jung | 4922155 | Cambridge Investment Research | Aegis Capital Corp. LPL Financial LLC (11/2010 – 04/2021) Morgan Keegan & Company, Inc. (02/2007 – 09/2010) AmSouth Investment Services, Inc. (01/2006 – 02/2007) Morgan Stanley DW Inc. (05/2005 – 01/2006) |
Jessica Y. Jung is a financial advisor and stockbroker who has built her career across several major broker-dealers, currently maintaining her office in Brentwood, TN. With a registration history spanning Cambridge Investment Research and formerly Aegis Capital Corp. and LPL Financial LLC, clients seeking to recover losses should be aware of her publicly reported disclosures and complaints.
Key Red Flags – Regulatory and Customer Actions Against Jessica Y. Jung
Investors deserve transparency. Below, we outline the significant regulatory findings and active or past disputes that may impact your ability to recover losses. Every item is based on official filings or regulatory reports. For direct access to her current public record, visit BrokerCheck and search using CRD #4922155.
- FINRA Regulatory Sanction (November 2024):
- Suspended (1 month) and fined ($5,000) for causing LPL Financial LLC to retain inaccurate books and records by mis-marking order tickets.
- Affected transactions involved speculative securities. FINRA found that had the tickets been properly marked, the activities would have been blocked by internal compliance systems.
- Details: Regulatory Action Date – November 7, 2024; Suspension Period – December 2, 2024 to January 1, 2025. Case Number: 2021071175101.
- Tennessee State Regulatory Investigation (Ongoing as of July 2026):
- The Tennessee Department of Commerce & Insurance began investigating Jung in November 2025 to determine whether she engaged in prohibited business practices. This investigation remains open and unresolved.
- FINRA Customer Dispute – Pending Arbitration:
- Filed September 2025: A customer of Aegis Capital alleges Jung committed breach of fiduciary duty, misrepresentations, excessive commissions, and unsuitable recommendations related to private placement investments. Monetary damages are not yet specified.
- Past Customer Dispute – FINRA Settlement ($147,000):
- Docket Number 21-01173: Filed May 4, 2021, the customer alleged that between 2011 and 2013, Jessica Y. Jung made misrepresentations and unsuitable recommendations in alternative investments, including oil & gas, real estate, and business development companies.
- The claim was settled for $147,000 on March 1, 2023.
- Employment Termination – LPL Financial LLC (March 2021):
- Jung was discharged for exceeding her discretionary authority by transacting securities beyond her written discretionary approval.
Summary of Alleged Broker Misconduct Involving Jessica Y. Jung
- Mis-marking order tickets for speculative transactions
- Unsuitable investment recommendations in complex or alternative investment products
- Employment termination based on unauthorized trading activities
- Misrepresentations and omissions when communicating investment risks to clients
- Ongoing investigations at both the state and self-regulatory organization level
Regulators cited violations of FINRA Rule 4511 (accurate record-keeping) and FINRA Rule 2111 (suitability), with specific conduct indicating transactions may not have aligned with investors’ profiles or risk tolerances.
Your Recovery Path – Our Proven Process
Every investor’s loss is personal. For decades, our attorneys have represented clients in hundreds of FINRA arbitrations and mediations, successfully securing compensation for wronged investors. Our insider knowledge of Wall Street’s practices enables us to identify when brokers cross the line, misrepresent risks, or violate fundamental suitability rules.
If your account with Jessica Y. Jung at Cambridge Investment Research, Aegis Capital Corp., or LPL Financial LLC suffered significant losses, especially involving speculative or alternative investments, there may be a strong case for recovery. Common red flags our attorneys pursue include:
- Excessive trading and unauthorized transactions
- Failure to disclose risks or conflicts when recommending complex products
- Over-concentration of alternative or high-commission investments
Through the FINRA arbitration process, clients can seek the return of lost funds without going to court. Our “No Recovery, No Fee” policy ensures you owe nothing unless our attorneys successfully recover compensation for you.
Next Steps: Secure a Complimentary Legal Consultation
If you suspect wrongdoing or have already suffered portfolio losses in any account managed by Jessica Y. Jung, whether in Brentwood, Tennessee, or elsewhere, take action quickly. Regulatory investigations and arbitration claims carry strict deadlines, and timely legal intervention can maximize your recovery potential.
We have been designated among the legal industry’s Top 2% (Martindale-Hubbell AV Preeminent) and recognized by Super Lawyers, reflecting the peer-reviewed reputation, trust, and professional excellence of our team. Our clients consistently rate us 5.0 stars for communication, results, and compassion.
Call 1-888-885-7162 for a free, confidential consultation with our securities attorneys. We will review your claims, explain your rights, and outline a practical strategy to recover losses through investor-friendly mechanisms like FINRA arbitration. There is no charge unless we win for you. Let us fight to recover your funds and restore your confidence.
