Investigation of JON PARISER – Pacific Grove, CA
Jon Pariser, formerly with Independent Financial Group, Barred from Securities Industry
Have you lost money with financial advisor Jon Pariser of Pacific Grove, California? We are continuing our investigation into allegations made by FINRA, the Financial Industry Regulatory Authority, against Jon Richard Pariser. FINRA barred Pariser from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Pariser after he allegedly referred some of his customers to invest with an unlicensed broker, who may have sold them potentially unsuitable securities.
Jon Pariser was a financial advisor and registered representative of Independent Financial Group from July 2014 to May 2018. He worked at a branch office in Pacific Grove, California. Pariser was previously terminated by SWS Financial Services in June 2014.
Brokerage firms like Independent Financial Group 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; Ann Arbor, Michigan; and Seattle, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout California. Our attorneys have represented over one thousand investors against many brokerage firms in the past.
Click to view: Pariser, Jon FINRA AWC
Click to view: Pariser, Jon BrokerCheck 10.4.18
If you lost money with Jon Pariser or Independent Financial Group, please CONTACT US at 720-599-3505 for a free evaluation of your case.