INVESTOR ALERT! Michael Lee of Kestra Investment in Darien Connecticut

Jon VanSlooten, formerly of Edward Jones, Suspended from Securities Industry for Three Months

 

Have you lost money with financial advisor Jon VanSlooten of Toledo, Ohio?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Jon Timothy VanSlooten. FINRA suspended VanSlooten from the securities industry for three months and fined him $7,500 after he was alleged to have engaged in unauthorized trading or discretionary trading in four customer accounts on over 500 transactions between 2009 and 2016.

 

Jon VanSlooten was a financial advisor and registered representative of Edward Jones from September 2008 to February 2016.   He worked at a branch office in Toledo, Ohio.  VanSlooten is now registered with Kingsview Asset Management.

 

Brokerage firms like Edward Jones have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in northwestern Ohio and southern Michigan.  Attorney Aaron Israels is licensed to practice law in Michigan.  Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Edward Jones.

 

Click to view:  VanSlooten, Jon FINRA AWC

Click to view:  VanSlooten, Jon BrokerCheck 6.23.17

 

If you lost money with Jon VanSlooten or Edward Jones, please CONTACT US at 720-599-3505 for a free evaluation of your case.

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency.  Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency.  All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact.  This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice.  Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis.  In contingent representation, clients may still be liable for costs.