Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 28, 2017 indicate that former California-based Merrill Lynch broker/adviser Jonathan Belden was terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Belden (CRD# 5955909).
Jonathan Belden has spent three years in the securities industry and was most recently registered with Merrill Lynch in Oakland, California (2014-2017). He has no previous registrations. He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on June 20, 2014, and Series 7 (General Securities Representative Examination), which he obtained on May 22, 2014. He is currently not registered with any state or firm.
According to his BrokerCheck report, he was discharged from his former employer in connection to alleged rule violations.
In July 2017 Jonathan Belden was terminated from his position at Merrill Lynch following allegations he participated in conduct involving the execution of unauthorized trades in customer accounts. For reference, both FINRA rules and federal securities law forbid brokers and investment advisers like Jonathan Belden from effecting securities transactions without the client’s authorization. There are some exceptions, such as discretionary accounts and, in some circumstances, accounts trading on margin. Financial professionals and broker-dealer firms who participated in or fail to prevent unauthorized trading may be subject to disciplinary action by FINRA, the Securities and Exchange Commission, and/or state regulatory authorities.
If you have lost money investing with Jonathan Belden, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.