Claims Against LPL Financial and Jonathan D. Freeze

Stoltmann Law Offices is investigating Jonathan D. Freeze, a former broker with LPL Financial. Freeze recently entered into a Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA). Freeze allegedly borrowed $20,000 from a firm customer without obtaining pre-approval from his firm. Securities rules and regulations prohibit registered representatives from borrowing money from firm customers. If the brokers are not reasonably supervised by LPL, the firm can be held responsible in the FINRA arbitration forum for investment losses. If you or someone you know suffered losses with Jonathan D. Freeze, please call our securities law firm based in Chicago at 312-332-4200 to speak with an attorney. The call is free with no obligation. We take cases on a contingency fee basis only.

According to his AWC, Freeze was suspended from the industry for 10 business days and fined $5,000. According to his FINRA BrokerCheck report, Freeze was registered with The Lincoln National Life Insurance Company in Glastonbury, Connecticut, from October 1995 until March 2006, Lincoln Financial Advisors Corp in Canonsburg, Pennsylvania from October 1995 until April 2009, LPL Financial in Fredericksburg, Virginia from March 2009 until July 2013 and Summit Brokerage Services in Fredericksburg from July 2013 until July 2015. He is currently registered with Fortune Financial Services in Canonsburg, Pennsylvania, and has been since July 2015.

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