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.
Soreide Law Group is investigating potential investor claims involving Cambridge Investment Research following a FINRA disciplinary action concerning Unit Investment Trust (UIT) recommendations. In April 2026, FINRA censured Cambridge Investment Research after finding supervisory deficiencies involving certain UIT recommendations made to retail clients. Investors who incurred excessive fees, unnecessary costs, or other damages associated with […]
Soreide Law Group is investigating potential investor claims involving Infinity Financial Services after FINRA sanctioned the firm for supervisory failures involving deferred variable annuity exchanges and recommendations. Investors who incurred surrender charges or other losses in connection with variable annuity transactions recommended through Infinity should review the allegations that led to FINRA's disciplinary action against […]
Soreide Law Group is investigating potential investor claims involving losses in NextGenTech Investments LLC, a private fund managed by Sestante Capital LLC that purported to provide investors with economic exposure to shares of private companies, including Anduril Industries. Recent criminal proceedings involving Sestante Capital's manager have raised significant concerns regarding the offering, the representations made […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com