Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 23, 2017 indicate that Florida-based Stifel Nicolaus & Company broker/adviser Jonathan Harris has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harris (CRD# 4137457).
Jonathan Harris has spent 16 years in the securities industry and has been registered with Stifel Nicolaus & Company in Palm Beach, Florida since 2015. Previous registrations include Barclays Capital in Palm Beach, Florida (2008-2015); Lehman Brothers in Palm Beach, Florida (2003-2008); Harris Investor Services in Jersey City, New Jersey (2002-2003); and Harris Investorline in Seattle, Washington (2001-2002). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 7, 2003; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 27, 2001; Series 3 (National Commodity Futures Examination), which he obtained on April 28, 2014; and Series 7 (General Securities Representative Examination), which he obtained on April 12, 2001. He is a registered broker and investment adviser with eleven US states and territories: Alabama, Arizona, California, Colorado, Connecticut, the District of Columbia, Florida, Nevada, New Jersey, New York, and Washington. He is registered with ten self-regulatory organizations (SROs): Bats BZX Exchange, Bats EDGA Exchange, Bats EDGX Exchange, the Chicago Stock Exchange, FINRA, NYSE American LLC, Nasdaq ISE, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In October 2017 a customer alleged Jonathan Martin, while employed at Stifel Nicolaus & Company, misrepresented material facts regarding and failed to disclose risks inherent in an options strategy. The customer is seeking $1,550,000 in damages in the pending complaint.
In 2012 a customer alleged Jonathan Martin, while employed at Barclays Capital, failed to follow instructions. The complaint settled for $4,000.
If you have lost money investing with Jonathan Martin, 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, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.