The Fort Lauderdale-based Soreide Law Group, phone (888) 760-6552, obtained the following summation of information from FINRA’s website, under “Disciplinary and Other FINRA Actions, May, 2014.”
Jon Fred Larson (CRD #861915, Lakeland, Florida)
was assessed a deferred fine of $5,000 and suspended by FINRA for 10 business days.
According to FINRA's findings, allegedly Larson entered an order to sell a client’s ETF(Exchange Traded Fund) position which was valued at approximately $16,000. Jon Larson, allegedly, did not have the client’s authorization, or consent.
This suspension was in effect from March 17, 2014, through March 28, 2014.
(FINRA Case #2013037802401)
Jon Fred Larson was previously registered with the following FINRA firm(s):
ALLEN & COMPANY OF FLORIDA, INC. (CRD# 25) - LAKELAND, FL
01/2003 - 07/2013
FIRST UNION BROKERAGE SERVICES, INC. (CRD# 8112) 10/1992 - 03/1993
ANCHOR NATIONAL FINANCIAL SERVICES, INC. (CRD# 5774) 06/1985 - 07/1986
TITAN CAPITAL CORPORATION (CRD# 6359) 12/1981 - 07/1985
NEL EQUITY SERVICES CORPORATION (CRD# 615) 10/1983 - 04/1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD# 7691) 04/1980 - 11/1981
WEDBUSH, NOBLE, COOKE, INC (CRD# 877) 02/1979 - 03/1980
This ends the summation of information from FINRA's website.
ETFs are highly speculative and risky investments that may not be suitable for some investors. If you suffered financial losses due to the recommendation of your broker/financial advisor in ETFs, call for a free consultation with an attorney at: (888) 760-6552.
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