Jonathan Sweeney – Jonathan George Sweeney – Barred from Securities Industry, Formerly Licensed with Navy Federal Brokerage Services, LLC – Goodman & Nekvasil P.A., May Recover Investor Losses
From 2011 until Jonathan Sweeney’s discharge in 2016, Jonathan Sweeney was licensed with Navy Federal Brokerage Services, LLC. According to FINRA’s records, Jonathan Sweeney was discharged from Navy Federal Brokerage Services, LLC on April 29, 2016. Navy Federal Brokerage Services, LLC reported to FINRA that Jonathan Sweeney failed to follow policies and procedures for obtaining customer signatures on account forms.
Subsequent to Jonathan Sweeney’s discharge from Navy Federal Brokerage Services, LLC, FINRA investigated Jonathan Sweeney and brought a disciplinary action against Jonathan Sweeney. Jonathan Sweeney was barred from the securities and investment banking industry on May 16, 2018. FINRA reports that Jonathan Sweeney consented to the sanction and to the entry of findings that Jonathan Sweeney made material misrepresentations and omitted to state material information when Jonathan Sweeney made an unsuitable recommendation that caused Jonathan Sweeney’s customer, ML, to surrender two variable annuities and use the proceeds to purchase two new variable annuities. In addition, according to FINRA, Jonathan Sweeney reused original signatures from forms Jonathan Sweeney’s customers had signed to complete new, separate forms that Jonathan Sweeney’s customers had not signed, and Jonathan Sweeney then submitted the new forms to Navy Federal as original documents.
If you lost any money on investments with Jonathan Sweeney, you may be able to recover your losses from Navy Federal Brokerage Services, LLC. This is because Navy Federal Brokerage Services, LLC had a duty to supervise Jonathan Sweeney.
If you lost money on investments with Jonathan Sweeney 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 Navy Federal Brokerage Services, LLC concerning Jonathan Sweeney’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 approximately $180 million on behalf of victimized investors. If you lost money on investments with Jonathan Sweeney 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.