Jonathan Ben Mirer, of Henderson, Nevada, a stockbroker currently registered with Ameriprise Financial Services, Inc., is the subject of a customer initiated investment related complaint, which settled on February 7, 2017, for $20,000.00 in damages supported by allegations of unauthorized trading of foreign equities from 2009 to 2016.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Mirer has been identified in six customer initiated investment related disputes pertaining to allegations of his misconduct while registered with Wells Fargo Advisors and Morgan Stanley Dean Witter. Specifically, a customer initiated investment related arbitration claim regarding Mirer’s activities was settled on October 28, 2002, for $67,500.00 in damages founded on accusations of securities violations relating to equity trades placed in the customer’s investment portfolio.
Subsequently, on December 30, 2016, a customer initiated investment related complaint concerning Mirer was settled for $55,000.00 in damages based on allegations of suitability regarding the customer’s preferred and common stock purchases made between 2008 and 2016. Thereafter, a customer initiated investment related complaint regarding Mirer’s activities was settled on January 31, 2017, for $30,000.00 in damages supported by allegations of unauthorized equity trading from 2000 to 2016.
Moreover, on February 10, 2017, a customer initiated investment related complaint regarding Mirer was resolved for $17,300.00 in damages founded upon accusations of suitability concerning the customer’s energy sector holdings between 2005 and 2016. Another customer initiated investment related arbitration claim involving Mirer’s conduct was filed on July 26, 2016, based upon allegations of suitability and unauthorized trading in the customer’s account.
Guiliano Law Group
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