The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker Jonathan Heise. He was a Florida based securities broker. He worked in the securities industry for five years. During his career, he was registered with two different securities firms. Jonathan Heise is no longer working as a registered securities broker in any fashion.
His Registrations
- Trade-PMR Inc. (2011-2015)
- Cetera Advisor Networks (2015-2016)
The Allegations
Jonathan Heise’s publicly available FINRA BrokerCheck report shows that he was discharged from his position at Cetera Advisor Networks in September of 2016. This was due to allegations that he used client information from his previous firm to contact and solicit clients. He was sanctioned by FINRA in January of 2018 due to these alleged actions. He was in turn fined $5,000 and suspended from acting as a securities broker in any fashion of a period of fifteen business days.
Oakes & Fosher Can Help
Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with Jonathan Heise, please contact Oakes & Fosher for a free and private consultation. We work on a contingency basis which means there are no fees charged unless we collect for you.
