PA Financial Advisor Jon Freeze reportedly barred by FINRA over Variable Annuities
According to the Financial Industry Regulatory Authority, Jon Freeze (Jonathan Douglas Freeze, CRD #2642023, Canonsburg, Pennsylvania) was issued an AWC on August 14, 2017, in which Freeze was barred from association with any FINRA member in all capacities.
Freeze reportedly refused to provide FINRA with documents and information in connection with an ongoing investigation relating to his recommendation of variable annuities.
According to his FINRA BrokerCheck report, Freeze was registered with Fortune Financial Services from July 2015 until April 2017 in Canonsburg, PA. He worked for Summit Brokerage Services in Fredericksburg VA from July 2013 through July 2015. Freeze was registered with LPL Financial Services in Fredericksburg VA from March 2009 until he was discharged in July 2013 because “he accepted a loan from a customer in violation of firm policy.” Freeze’s broker report lists 17 disclosure events in 7 years.
For FINRA’s full findings see FINRA Case #2017052701401.
Recover your investment losses
The White Law Group is investigating the liability that Jon Freeze’s employers may have for losses sustained by his clients. Brokerage firms are required to adequately supervise their agents to ensure they are complying with FINRA rules. If it is determined that the broker dealer failed to supervise their agent, they can be held responsible for losses in a FINRA arbitration claim.
Are you concerned about variable annuity losses with Jon Freeze? The attorneys at The White Law Group may be able to help you. For a free consultation with a securities attorney, please call (888) 637-5510.
The foregoing information, which is all publicly available on FINRA’s website, is being provided by The White Law Group. The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida.
For more information on The White Law Group, please visit www.whitesecuritieslaw.com.