October 15, 2015 – Fredericksburg, VA
Jonathan D. Freeze , entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he borrowed $20,000 from a firm customer without providing notice and obtaining written pre-approval from his firm as required by FINRA rules.
AWC No. 2013036251001
Freeze was fined $5,000 and suspended for 10 business days.
According to FINRA records, Freeze is currently registered with Fortune Financial Services. He was previously registered with Summit Brokerage Services from 7/2013-7/2015. Prior to that he was registered with LPL Financial.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
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