Jason L. Layland – Cambridge Investment Research, Rocklin, CA: What Investors Should Know
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Haselkorn & Thibaut, a national investment fraud law firm with over 50 years of combined experience, has opened an investigation into financial advisor Jason L. Layland (CRD #4799825), based in Rocklin, California, and currently registered with Cambridge Investment Research, Inc. If you have concerns about investments or account activity linked to Layland, it is important to understand his background, complaint history, and what your options are.
Overview of Jason L. Layland’s Professional Background
- Name: Jason L. Layland (Jason Lee Layland)
- CRD Number: 4799825
- Current Firm: Cambridge Investment Research, Inc. (since November 2022), Rocklin, CA
- Alternate Registration: Cambridge Investment Research Advisors, Inc.
- Branch Office: 2210 Plaza Dr., Suite 300, Rocklin, California 95765
- Other Business: Owner, Clear Wealth Strategies; Agent, Fortera Capital and various insurance/benefits licenses
- Licenses: FINRA General Securities Representative and General Securities Principal (Series 24, as of February 2024); multi-state registrations
Previous Employers:
- Woodbury Financial Services, Inc.
- Questar Capital Corporation
- Questar Asset Management, Inc.
- Merrill Lynch, Pierce, Fenner & Smith Inc.
- Banc of America Investment Services, Inc.
- Edward Jones
- E*TRADE Securities LLC
- Tenures spanning 2004–2022
Complaint History and Disclosures: A Clear Look
Haselkorn & Thibaut’s investigation is motivated by investor complaints and published settlement data. While many advisors have spotless records, it’s essential for investors to know that Jason L. Layland has been the subject of specific customer disputes. Here are the most relevant details:
| Date | Case/Context | Allegation | Outcome |
|---|---|---|---|
| 01/22/2024 | FINRA Case No. 22-02987 (Woodbury Financial Services) | Unsuitable variable annuity recommendation; customer sought $100,000 in damages | Settled for $62,500 (no individual contribution reported) |
| 04/01/2010 | FINRA Case No. 09-03615 (Edward Jones) | Unsuitable corporate bonds; risks allegedly not disclosed | Arbitration settled for $7,500 |
Key Allegations:
- Unsuitable Recommendations: Customers alleged that Layland recommended products (such as variable annuities and corporate bonds) that did not align with their objectives or risk tolerance. This may implicate FINRA Rule 2111 (Suitability).
- Misrepresentation/Omission: There were claims that the risks of certain investments were not fully explained, touching on FINRA Rule 2020 (anti-fraud) and Rule 2010 (ethics and integrity).
- Best Interest Standard: Transactions after June 2020 would also be assessed under the SEC’s Regulation Best Interest, which strengthens requirements that recommendations truly serve each customer.
No Regulatory or Court Disciplinary Actions
Publicly available records show that, to date, Jason L. Layland does not have any regulatory actions, SEC orders, suspensions, fines, or terminations relating to misconduct. No SEC or state regulator enforcement cases appear under his name, and there is no known civil litigation or investor lawsuit in court dockets or media headlines.
- No ongoing regulatory investigations disclosed.
- No bankruptcies, tax liens, or monetary judgments reported.
As always, for the most current status, investors can search FINRA’s BrokerCheck for Jason L. Layland (CRD 4799825).
What This Means for Investors: Red Flags and Takeaways
It’s not unusual for financial advisors with long careers to have a limited number of client complaints or settlement disclosures—the key is context and frequency. Layland’s two FINRA arbitration settlements should be noted:
- Both were for unsuitable recommendations, with one including alleged inadequate disclosures about risks.
- Settlements were made—while these are not findings of wrongdoing, they do show the customers were offered compensation for their claims.
Why does this matter? Unsuitable recommendations and misrepresentations are serious issues under industry rules. They can result in losses for investors, especially when products are complex or high-fee, such as variable annuities or individual corporate bonds.
How Can Investors Respond?
If you invested with Jason L. Layland and have concerns about your portfolio, the suitability of recommended products, or suffered unexpected losses, you may have options for pursuit of damages through FINRA arbitration. Here’s what you can do:
- Gather your account statements, correspondence, and notes of any relevant conversations or recommendations.
- Consider a free, confidential portfolio review with Haselkorn & Thibaut to determine whether your account activity may support a claim for recovery.
- Remember, there are strict statutes of limitation. If you believe you were harmed, it’s wise to act promptly.
Why Choose Haselkorn & Thibaut?
- Experience: Over 50 years of combined legal experience handling investment and securities fraud cases.
- Success Rate: 98%+ resolution rate for clients nationwide.
- Contingency Basis: No attorney fees unless a recovery is obtained for you. No recovery, no fee.
- Investor-First Focus: Empathetic, professional, and confidential support for investors of all backgrounds.
Request Your Free Consultation
If you have questions regarding your investments with Jason L. Layland or Cambridge Investment Research, now is the right time to seek guidance. Haselkorn & Thibaut’s attorneys are committed to protecting investors’ rights and recovering losses caused by unsuitable advice or mishandled accounts.
Your path to clarity starts with a single, no-pressure conversation. Reach out now—protect your financial future.
