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.
Summit Brokerage and Independent Financial Group each appear on a pending customer claim naming Gilbert Conrad (CRD 2746778). Both claims are unproven allegations. His BrokerCheck report also lists settled disputes at Arkadios Capital and Independent Financial Group.
On August 6, 2026, a customer filed a $400,000 FINRA arbitration naming Chad McQuade (CRD 5436281) and Northwestern Mutual. The claim involves outside, third-party real estate investments. It is pending, and McQuade disputes it in a written response.
Christopher Miller (CRD 4044818) has a customer dispute on BrokerCheck that settled on October 7, 2026 for $50,901. The disclosure lists Emerson Equity as the firm.
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