Jonathan Douglas Freeze (Jon Freeze), Financial Advisor Barred by FINRA | Goodman and Nekvasil May Recover Investors Losses on Alternative Energy Holdings

Goodman and Nekvasil May Recover Investors Losses on Alternative Energy Holdings | Jonathan Douglas Freeze (Jon Freeze), Financial Advisor Barred by FINRA 

FINRA reports that Jon Freeze, was barred from the securities industry on August 4, 2017. FINRA reports Jon Freeze consented to the sanctions and entry of findings that Jon Freeze refused to provide the documents and information in connection with an ongoing investigation relating to his recommendation of variable annuities.

In July 2015, Jon Freeze reported that Jon Freeze is the subject of a FINRA investigation for violation of FINRA rules 3240 and 2010 for borrowing funds from a customer without obtaining prior written approval.

According to Jon Freeze’s CRD, 9 customer disputes alleging sales practice violations against Jon Freeze are currently pending. These complaints allege unsuitable investments and/or selling away. Two of these customer disputes allege $370,000 and $330,000 in damages. 

In October 2017, Fortune Financial Services reported a customer dispute alleging selling away. Jonathan Freeze requested and received $30,000 to be invested in Alternative Energy Holdings, possibly a Reg D investment outside the scope of a limited purpose broker dealer. This complaint, with alleged damages of $30,000, is pending.

FINRA’S Broker Check reports Jon Freeze was a registered representative with Fortune Financial Services, Inc., from July 2015 through April 2017. Prior, Jon Freeze was registered with Summit Brokerage Services, Inc., from July 2013 until July 2015 and with LPL Financial LLC from March 2009 to July 2013.

Goodman & Nekvasil, P.A., a Clearwater, Florida, law firm with a national practice representing victimized investors, continues to investigate brokerage firms that placed elderly retirees and other conservative investors in high-risk investments.

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. We would like to discuss the possibility of your retaining our firm to represent you in an arbitration action.

Goodman & Nekvasil, P.A., has filed hundreds of cases against brokerage firms selling high-risk investments and has recovered more than $180 million dollars on behalf of victimized investors.  We allege in these cases that these investment recommendations were unsuitable for our clients in view of their financial situation, needs and investment objectives.  All our cases are handled on a purely contingency fee basis.

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. Finally, the filing of such a case should not affect your ownership of these investments in any way.

If you incurred losses on your investment with Jon Freeze, you may be able to recover your losses from Fortune Financial Services, Inc., Summit Brokerage Services, Inc., and/or LPL Financial LLC. This is because Fortune Financial Services, Inc., Summit Brokerage Services, Inc., and LPL Financial LLC, had a duty to supervise Jon Freeze. If you 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. 

Jon Freeze, Investment Fraud Attorney, Stockbroker Misconduct Disciplinary Actions, Unsuitable Investment Advice, Investment Fraud, Churning, Misrepresentation and Omission of Material Facts, Elder Fraud, Unauthorized Trading, Theft, Selling Away, Unapproved Outside Business, Nationwide, PIABA, SEC, Securities Exchange Commission, NASD, National Association of Securities Dealers, NASDAQ, Dow Jones, Wall Street, New York Stock Exchange, Jon Freeze

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