Customer Alleged Jon Winningham Failed to Follow Instructions

Jon Winningham

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2018 indicate that Arizona-based Merrill Lynch broker/adviser Jon Winningham has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Winningham (CRD# 4214362).

Jon Winningham has spent eleven years in the securities industry and has been registered with Merrill Lynch in Chandler, Arizona since 2014. Previous registrations include Vanguard Marketing Corporation in Scottsdale, Arizona and American Century Investment Services in Kansas City, Missouri (2005-2008). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 21, 2014; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 11, 2005; Series 7 (General Securities Representative Examination), which he obtained on July 3, 2012; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on. He is a registered broker and investment adviser with 53 US states and territories and with 21 self-regulatory organizations (SROs), including: BOX Options Exchange LLC, Bats BYX Exchange, C2 Options Exchange, the Chicago Board Options Exchange, the Chicago Stock Exchange, FINRA, Investors’ Exchange, MIAX PEARL, NYSE American LLC, Nasdaq BX Inc., the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, Jon Winningham has received one pending customer complaint.

In December 2017 a customer alleged Jon Winningham, while employed at Merrill Lynch, failed to follow instructions from October 2015 to November 2017 in connection to investments in common and preferred stock. The customer is seeking unspecified damages in the pending complaint.

If you or someone you know has a complaint regarding Jon Winningham, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.