Johnathan Mandel Lo (Johnathan Lo) Barred from Securities Industry and Permitted to Resign from NYLife Securities LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
Goodman & Nekvasil P.A., May Recover Investor Losses - Johnathan Mandel Lo (Johnathan Lo) Barred from Securities Industry and Permitted to Resign from NYLife Securities LLC
From 2013 until Johnathan Lo’s resignation 2015, Johnathan Lo was licensed with NYLife Securities LLC. Jonathan Lo was previously licensed with J.P. Morgan Securities LLC and Chase Investment Services Corp. According to FINRA’s records, Johnathan Lo was permitted to resign by NYLife Securities LLC on February 19, 2016. Johnathan Lo reported to FINRA that Johnathan Lo was permitted to resign after a review of Johnathan Lo’s business identified a pattern of unsuitable mutual fund switches.
Subsequent to Johnathan Lo’s termination by NYLife Securities, LLC, FINRA investigated Johnathan Lo and brought a disciplinary action against Johnathan Lo. Johnathan Lo was barred from the securities and investment banking industry on May 1, 2017. FINRA reports that Johnathan Lo consented to the sanction and to the entry of findings that Johnathan Lo failed to appear for a FINRA on-the-record interview in connection with an investigation.
FINRA reports that 5 complaints were filed involving Johnathan Lo’s conduct with NYLife Securities LLC, alleging short term trading of class A and Class B mutual funds. These complaints all settled.
If you lost any money on investments with Johnathan Lo, you may be able to recover your losses from NYLife Securities LLC. This is because NYLife Securities LLC had a duty to supervise Johnathan Lo.
If you lost money on investments with Johnathan Lo and believe the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against NYLife Securities LLC concerning Johnathan Lo’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Johnathan Lo and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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