Jonathan Freeze, of Canonsburg, Pennsylvania, a stockbroker formerly registered with Fortune Financial Services, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations that Freeze made faulty investment recommendations to customers. Letter of Acceptance, Waiver and Consent, No. 2017052701401 (Aug. 14, 2017).
According to the AWC, FINRA staff notified Mr. Freeze by letter on June 20, 2017, that it sought information and documentation from him regarding the allegations of his annuity recommendations, according to Rule 8210. The AWC stated that Freeze failed to provide the information and documentation as requested, prompting a second request to be made by FINRA on July 7, 2017. Apparently, on July 24, 2017, FINRA staff received word from Freeze’s counsel that Freeze would not be providing FINRA with a response at any point. FINRA found that Freeze’s failure to cooperate was violative of FINRA Rules 2010 and 8210.
Freeze has been previously fined and suspended from associating with any FINRA member in any capacity based upon consenting to findings that he entered into an unauthorized loan transaction with a customer. Letter of Acceptance, Waiver and Consent, No. 2013036251001 (Oct. 15, 2015). FINRA found Freeze’s conduct to be violative of FINRA Rules 2010 and 3240.
Freeze’s registration with Fortune Financial Services, Inc. was terminated on April 17, 2017.
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