FINRA Sanctions Jason Pintus

Soreide Law Group is investigating possible investor claims against Jason Lee Pintus (CRD: 5239408, Point Pleasant Beach, New Jersey). Notably, FINRA sanctioned the securities broker, who worked for Monmouth Capital Management LLC. Allegedly, Pintus failed to testify when FINRA conducted an investigation. Here is a brief summary of FINRA’s allegations against Pintus.

Pintus Barred By FINRA For Failure To Testify

Evidently, on May 8, 2023, FINRA issued Letter of Acceptance, Waiver, and Consent No. 2022076459302 sanctioning Jason Pintus. Notably, FINRA alleged that Pintus failed to testify in the investigation.

Specifically, Pintus allegedly refused to cooperate with FINRA's investigation into his and his firm's supervision. Supposedly, the investigation focused on several issues, including the potential falsification of documents, supervision of representatives, suspicious transactions, oversight of excessive trading by other representatives, and Pintus' own potential unauthorized trading.

How Was The Case Resolved?

Evidently, Pintus agreed to the punishment without admitting or denying the findings. This resolution means that Pintus accepted the sanction imposed by FINRA. Pintus received a permanent bar, which means he is no longer allowed to work in any capacity related to the securities industry. Evidently, the bar became effective on May 8, 2023.

Jason Pintus Discharged For Failure To Testify

Also, on April 21, 2023, Monmouth Capital Management LLC disaffiliated with Pintus. Supposedly, Monmouth Capital Management LLC indicated that Pintus failed to cooperate with FINRA.

Employment Information

Pintus worked for Monmouth Capital Management LLC as a securities broker from January 2020 to April 2023. 

Damages Resulting From Monmouth Capital Management LLC Securities Broker Jason Pintus?

Have you sustained damages by investing with Jason Pintus? If you have, get in touch with Soreide Law Group at (888) 760-6552 and speak with a securities lawyer regarding a potential recovery of your investment losses. Soreide Law Group, who has effectively recovered money for investors within all 50 states, represents clients on a contingency fee basis and advances all costs. Pintus and brokerage firms Pintus worked for deny any and all accusations of sales-related misconduct.