Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Jonathan Micheal Gervaise [CRD: 5492872, Radnor, Pennsylvania]. Gervaise worked for Lincoln Financial Distributors Inc. from September 9, 2019, to April 1, 2022, and also worked for Pruco Securities LLC and Jackson National Life Distributors LLC in the years following. His recent history, however, includes a permanent bar from FINRA. Keep reading to learn about the allegations and regulatory actions that led to this outcome.
On May 2, 2024, FINRA permanently barred Jonathan Gervaise for failing to respond to regulatory requests. FINRA initiated Case No. 2023037892501, inquiring into Gervaise’s activities while he worked for Lincoln Financial Distributors Inc. Gervaise supposedly failed to address this. As a result, FINRA issued a Notice of Suspension on January 29, 2024, and a Suspension from Association letter on February 22, 2024. Under FINRA Rule 9552(h), Gervaise had three months to comply with the suspension terms, but he did not, leading to his permanent bar.
A separate disclosure on FINRA BrokerCheck shows that on September 28, 2020, a client of Lincoln Financial Distributors made a complaint about Jonathan Gervaise. The client alleged that Gervaise failed to explain the tax consequences of variable annuity withdrawals. The client asked for $6,000 in damages. However, the complaint was ultimately closed without any further action being taken.
Contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney regarding Jonathan Gervaise or the firms he worked for. Gervaise and these brokerage firms deny accusations of sales practice violations. Soreide Law Group has experience representing investors throughout the country. The firm handles cases on a contingency basis.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com