Jonathan Freeze — Alleged Unsuitable Recommendations of Variable Annuities
Jonathan Freeze, Formerly of LPL Financial, Allegedly Made Unsuitable Recommendations to His Customers to Invest in Variable Annuities
Jonathan Freeze, of Fredericksburg, Virginia, and formerly of LPL Financial, allegedly made unsuitable recommendation of variable annuities, according to a a recent Letter of Acceptance, Waiver and Consent (AWC) currently under review by attorneys Alan Rosca and James Booker.
Peiffer Rosca Wolf securities practice lawyers are investigating Jonathan Freeze’s alleged unsuitable recommendations.
Investors who believe they may have lost money in activity related to Jonathan Freeze’s alleged unsuitable recommendations are encouraged to contact attorneys Alan Rosca or James Booker with any useful information or for a free, no obligation discussion about their options.
Jonathan Freeze, on June 20, 2017, in connection to an investigation regarding the aforementioned recommendation of unsuitable annuities, received a request from FINRA requesting that he provide certain documents and information, according to the aforementioned AWC.
Freeze purportedly did not provide the requested documents and information, and on July 7, 2017, FINRA staff sent a second request again seeking the same documents and information, the AWC notes.
Freeze, as acknowledged by his counsel in a response dated on July 24, 2017, allegedly acknowledged that he received FINRA’s request for documents and information and that he would not produce said information at any time, the AWC states.
Jonathan Freeze Barred by FINRA
Jonathan Freeze, based on the aforementioned behavior, allegedly violated FINRA Rules, and hence, has been barred by FINRA, according to the aforementioned AWC currently under review by attorneys Alan Rosca and James Booker.
Jonathan Freeze was a financial advisor and registered representative of LPL Financial from March 2009 to July 2013, the AWC states. He was also affiliated with Summit Brokerage Services from July 2013 to July 2015, and with Fortune Financial Services from July 2015 to April 2017, the AWC notes.
One should also note that, according to the AWC, Jonathan Freeze neither admitted nor denied the FINRA findings.
Securities Lawyers Investigating
The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of investment fraud and are currently investigating Jonathan Freeze’s alleged unsuitable recommendations. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of Jonathan Freeze’s alleged unsuitable recommendations may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520 or via e-mail at firstname.lastname@example.org or email@example.com.