Brian Jones Suspended by FINRA – Goodman & Nekvasil, P.A. May Recover Investor Losses
CAMBRIDGE INVESTMENT RESEARCH, INC. registered representative, Brian Jones Suspended by FINRA.
BRIAN KEITH JONES
BRIAN KEITH JONES (CRD#: 4203098), a broker for CAMBRIDGE INVESTMENT RESEARCH, INC. in PILOT GROVE, IA, has been suspended by FINRA. According to Jones’ FINRA BrokerCheck report, Jones consented to the sanctions and to the entry of findings that he participated in two private securities transactions, totaling $100,000, without providing prior written notice to, or seeking and receiving approval from, his member firm. The findings stated that Jones researched a private placement offering, recommended that two of his investment advisory customers purchase shares in the offering, and facilitated the close of the transactions and the transfer of purchased shares from the issuer to the customers’ accounts. Jones earned at least $1,360 in investment advisory fees attributable to these customers’ investments in the offering. The findings also stated that when asked on his annual firm compliance questionnaire whether, within the last two years, he had assisted, advised, or facilitated any private securities transactions, Jones falsely responded that he had not. In the following year’s annual firm compliance questionnaire, Jones disclosed for the first time that he in fact had participated in the private securities transactions.
Brandon Morrow has an investor complaint.
Goodman & Nekvasil, P.A., is investigating brokers who may have unsuitably recommended investments to their clients.
St. Petersburg, Florida law firm Goodman & Nekvasil, P.A., has a national practice representing victimized investors. The firm continues to investigate brokerage firms that placed elderly retirees and other conservative investors in unsuitable investments.
Goodman & Nekvasil, P.A., has filed numerous cases against brokerage firms selling high-risk investments and has recovered more than $400 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.
There is no charge for an evaluation of your case. We handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
If you incurred losses on your investment and would like your case evaluated by a securities attorney, please contact us.
Some of the information in this blog post was obtained from FINRA on 5/16/24. If you believe this information was reported incorrectly, please contact our firm: 1-800-500-4442.