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.
If you have experienced a financial loss due to your broker or financial advisor's recommendations, call Soreide Law Group for a no-cost consultation with an attorney at: 888-760-6552.
JOSEPH KELLY (JOE KELLY) has been registered as a broker with VCS VENTURE SECURITIES of New York, NY since 6/17/2026. He was previously registered with SPARTAN CAPITAL SECURITIES LLC of New York, NY from 01/13/2017 - 12/18/2024. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, JOSEPH KELLY has 21 years of experience […]
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CENTAURUS FINANCIAL, INC (Respondent). The Claimants reside in Arizona and are retired. The Claimants were seeking stable investments that would provide them with income. The lawsuit states that the Claimants have a long-standing relationship with CENTAURUS FINANCIAL and its Financial Advisor, […]
Soreide Law Group is investigating potential investor claims involving DCM US Multi-Family Homes PLC notes sold or recommended through Andbanc Brokerage LLC. They are also investigating sales or recommendations through Andbanc Advisory LLC. Additionally, they are reviewing sales or recommendations through BCI Securities, Inc., Boreal Capital Securities, LLC (also known as Mora Capital Securities), and […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com