{"id":3057,"date":"2015-01-14T00:00:00","date_gmt":"2015-01-14T05:00:00","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/"},"modified":"2017-12-27T16:18:46","modified_gmt":"2017-12-27T21:18:46","slug":"finra-files-disciplinary-charges-against-jonathan-a-francis","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/","title":{"rendered":"FINRA Files Disciplinary Charges against Jonathan A. Francis"},"content":{"rendered":"<\/p>\n

Jonathan A. Francis, of Brooklyn, New York, was named a respondent in a FINRA complaint alleging that he assisted third parties who improperly took over $200,000 in cash from customers\u2019 accounts without the customers\u2019 knowledge or consent. Jonathan Francis was previously registered with J.P. Morgan Securities, LLC.\u00a0 The complaint alleges that Francis issued automatic teller machine (ATM) cards in six dead customer\u2019s accounts and an ATM card for the account of a customer who subsequently complained of an unauthorized withdrawal of funds from his account.\u00a0 Francis knew that the distribution of the unauthorized ATM cards was part of an overall scheme to convert funds from bank customers. Francis resigned from the bank and his firm before they could interview him about it hindering their investigation. The complaint also alleges that Francis failed to respond fully to FINRA\u2019s requests for documents and information, and failed to appear for his continued on-the-record testimony. (FINRA Case #2013038988301<\/strong><\/a>)<\/p>\n

We are currently involved in multiple cases against brokerage firms for mismanagement of elderly investors\u2019 accounts<\/a> and\/or improper conflicts of interest<\/a> between the financial advisor and the customer.\u00a0 We routinely work closely with estate planning attorneys to help resolve disputes between family members regarding the management of an elderly family member\u2019s financial affairs and we are frequently consulted regarding the improper sale of securities or mismanagement of the portfolio by a fiduciary, trustee or other trusted advisor.<\/p>\n

Silver Law Group<\/a> represents the interests of investors who have been the victims of investment fraud.\u00a0 If you have questions about your legal rights, please contact Scott Silver<\/a> of the Silver Law Group<\/a> for a free consultation at\u00a0ssilver@silverlaw.com<\/a>\u00a0or toll free at (800) 975-4345.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Jonathan A. Francis, of Brooklyn, New York, was named a respondent in a FINRA complaint alleging that he assisted third parties who improperly took over $200,000 in cash from customers\u2019 accounts without the customers\u2019 knowledge or consent. Jonathan Francis was previously registered with J.P. Morgan Securities, LLC.\u00a0 The complaint alleges that Francis issued automatic teller […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[611,582],"tags":[],"class_list":["post-3057","post","type-post","status-publish","format-standard","hentry","category-conflicts-of-interest","category-elder-fraud"],"yoast_head":"\nFINRA Files Disciplinary Charges against Jonathan A. Francis — Securities Arbitration Lawyers Blog — January 14, 2015<\/title>\n<meta name=\"description\" content=\"Jonathan A. Francis, of Brooklyn, New York, was named a respondent in a FINRA complaint alleging that he assisted third parties who improperly took over — January 14, 2015\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Files Disciplinary Charges against Jonathan A. Francis — Securities Arbitration Lawyers Blog — January 14, 2015\" \/>\n<meta name=\"twitter:description\" content=\"Jonathan A. Francis, of Brooklyn, New York, was named a respondent in a FINRA complaint alleging that he assisted third parties who improperly took over — January 14, 2015\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Files Disciplinary Charges against Jonathan A. Francis — Securities Arbitration Lawyers Blog — January 14, 2015","description":"Jonathan A. Francis, of Brooklyn, New York, was named a respondent in a FINRA complaint alleging that he assisted third parties who improperly took over — January 14, 2015","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/","twitter_card":"summary_large_image","twitter_title":"FINRA Files Disciplinary Charges against Jonathan A. Francis — Securities Arbitration Lawyers Blog — January 14, 2015","twitter_description":"Jonathan A. Francis, of Brooklyn, New York, was named a respondent in a FINRA complaint alleging that he assisted third parties who improperly took over — January 14, 2015","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"1 minute"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"Article","@id":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/#article","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/"},"author":{"name":"Silver Law Group","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"headline":"FINRA Files Disciplinary Charges against Jonathan A. Francis","datePublished":"2015-01-14T05:00:00+00:00","dateModified":"2017-12-27T21:18:46+00:00","mainEntityOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/"},"wordCount":288,"articleSection":["Conflicts of Interest","Elder Fraud"],"inLanguage":"en-US"},{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/","name":"FINRA Files Disciplinary Charges against Jonathan A. Francis — Securities Arbitration Lawyers Blog — January 14, 2015","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"datePublished":"2015-01-14T05:00:00+00:00","dateModified":"2017-12-27T21:18:46+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Jonathan A. Francis, of Brooklyn, New York, was named a respondent in a FINRA complaint alleging that he assisted third parties who improperly took over — January 14, 2015","breadcrumb":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/"]}]},{"@type":"BreadcrumbList","@id":"https:\/\/www.silverlaw.com\/blog\/finra-files-disciplinary-charges-against-jonathan-a-francis\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.silverlaw.com\/blog\/"},{"@type":"ListItem","position":2,"name":"FINRA Files Disciplinary Charges against Jonathan A. Francis"}]},{"@type":"WebSite","@id":"https:\/\/www.silverlaw.com\/blog\/#website","url":"https:\/\/www.silverlaw.com\/blog\/","name":"Securities Arbitration Lawyers Blog","description":"Published by Securities Arbitration Lawyers \u2014 Silver Law Group","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.silverlaw.com\/blog\/?s={search_term_string}"},"query-input":{"@type":"PropertyValueSpecification","valueRequired":true,"valueName":"search_term_string"}}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752","name":"Silver Law Group","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","url":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","contentUrl":"https:\/\/secure.gravatar.com\/avatar\/9eb0a691642ae95c68ee1c45b5f50f35bae76a41f3d9f861c7bfd40c87661746?s=96&d=mm&r=g","caption":"Silver Law Group"}}]}},"jetpack_featured_media_url":"","_links":{"self":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/3057","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/comments?post=3057"}],"version-history":[{"count":1,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/3057\/revisions"}],"predecessor-version":[{"id":5629,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/posts\/3057\/revisions\/5629"}],"wp:attachment":[{"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/media?parent=3057"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/categories?post=3057"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.silverlaw.com\/blog\/wp-json\/wp\/v2\/tags?post=3057"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}