Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 30, 2016 indicate that Nevada-based Ameriprise Financial Services broker/adviser Jonathan Mirer has been the subject of resolved or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Mirer (CRD# 336638).
Jonathan Mirer has spent 43 years in the securities industry and has been registered with Ameriprise Financial Services in Henderson, Nevada since July 2016. Previous registrations include Wells Fargo Advisors in Henderson, Nevada; Prudential Securities in New York, New York; Dean Witter Reynolds in Purchase, New York; CIBC Oppenheimer & Company in New York, New York; Raymond James & Associates in St. Petersburg, Florida; Connor Greenfield Securities; Rotan Mosle; and Dean Witter & Company. He is a registered broker and investment adviser with 21 US states and territories.
According to his BrokerCheck report, Jonathan Mirer has received two customer complaints and one pending customer complaint, and resigned from Raymond James & Associates.
In July 2016 a customer alleged Jonathan Mirer, while employed at Wells Fargo Advisors, made unauthorized transactions and recommended unsuitable investments. The customer is seeking unspecified damages in the pending complaint.
In 2001 a customer alleged Jonathan Mirer, while employed at Morgan Stanley Dean Witter, committed “common law and statutory securities violations in connection with equity transactions.” The complaint settled in 2002 for $67,500.
In 1992 Jonathan Mirer was “permitted to resign” from his position at Raymond James & Associates following allegations that, as general partner of an investment partnership, he “paid monies to himself without adequate written back-up.”
In 1987 a customer alleged Jonathan Mirer, while employed at Painewebber, made unsuitable recommendations. The complaint resulted in an award to the customer of $3,750, to which Mr. Mirer individually contributed $3,750.
If you have lost money investing with Jonathan Mirer, you may be entitled to recover lost funds. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on contingency: Fitapelli Kurta only gets paid if and when you recover money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.