Investors might have sustained losses because of securities broker Jonathan Robert Harvey [CRD: 4558464, Doylestown, Pennsylvania], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Harvey worked for Janney Montgomery Scott LLC as a broker since August 30, 2002, and as an investment adviser since March 30, 2006. Keep reading for details about Harvey’s disclosures.
Particularly, on February 27, 2024, a Janney Montgomery Scott LLC client filed FINRA Arbitration No. 24-00440 about Jonathan Harvey. Mainly, the client alleged that Harvey made unsuitable recommendations. For this reason, the client allegedly experienced damages connected to fixed income products. Therefore, the client requested $499,000 in compensation from Janney Montgomery Scott LLC or Harvey. It appears that this arbitration is awaiting a resolution.
Also, a client of Janney Montgomery Scott LLC contested Jonathan Harvey’s sales practices by filing FINRA Arbitration No. 0905356. Allegedly, Harvey made unsuitable recommendations relating to IRA distributions. It appears that Harvey allegedly caused the client to sustain damages on mutual funds. Consequently, Janney Montgomery Scott LLC opted to settle the matter on March 9, 2010, by compensating the client in the amount of $9,000.
Did you experience losses because of Jonathan Harvey? If so, reach out to Soreide Law Group at (888) 760-6552 or online and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee arrangement and advances all costs. Harvey and brokerage firms Harvey worked for deny allegations of sales practice violations.
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Adam T. Taff, also known as Adam Taff (CRD: 5933315), is a securities broker and financial advisor in Charlotte, North Carolina. He has been registered with MML Investors Services LLC as a broker since July 26, 2011, and as a financial advisor since November 30, 2012. Taff disclosed a client complaint involving alleged investment losses, […]
Investors might have sustained losses due to securities broker Donald Paul Robbins [CRD: 4364668, Waxhaw, North Carolina], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Robbins has been registered with MML Investors Services LLC as a broker since April 8, 2016, and as a financial advisor since April 12, 2016. Keep reading […]
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