Jonathan A. Francis (CRD #5204602, Brooklyn, New York)
was barred by FINRA for allegedly issuing unauthorized ATM cards for the accounts of bank customers, some of whom were dead, as part of a scheme to convert $210,000 in customer funds.
FINRA's findings stated that during the course of FINRA’s investigation, Francis failed to respond fully to FINRA’s request for information and failed to provide FINRA-requested testimony.
FINRA Case #2013038988301
Jonathan A. Francis is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). He was previously registered with the following firms:
10/2013 - 11/2013 J.P. TURNER & COMPANY, L.L.C. (CRD# 43177) - BROOKLYN, NY
10/2012 - 10/2013 J.P. MORGAN SECURITIES LLC (CRD# 79) - BROOKLYN, NY
04/2010 - 10/2012 CHASE INVESTMENT SERVICES CORP. (CRD# 25574) - BROOKLYN, NY
The above information was obtained from FINRA’s website "Disciplinary and Other FINRA Actions April 2015," and ends here.
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