{"id":7448,"date":"2018-12-20T13:19:47","date_gmt":"2018-12-20T18:19:47","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=7448"},"modified":"2018-12-20T13:21:36","modified_gmt":"2018-12-20T18:21:36","slug":"finra-bars-jon-pariser-after-allegations-of-customer-referrals-to-unregistered-individual","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/finra-bars-jon-pariser-after-allegations-of-customer-referrals-to-unregistered-individual\/","title":{"rendered":"FINRA Bars Jon Pariser After Allegations Of Customer Referrals To Unregistered Individual"},"content":{"rendered":"<p>Our <a href=\"https:\/\/globenewswire.com\/news-release\/2018\/10\/10\/1619466\/0\/en\/Notice-to-Customers-of-Jon-Pariser-Formerly-of-Independent-Financial-Group-Who-Were-Referred-to-Christopher-Parris-and-Invested-in-First-Nationale-Solution-Silver-Law-Group-and-Law.html\" target=\"_blank\">attorneys<\/a> currently represent customers of Jon Pariser against Independent Financial Group for losses related to First Nationle Solution. Jon Richard Pariser (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/2755015\" target=\"_blank\">CRD #2755015<\/a>) is a former registered broker whose last employer was Independent Financial Group, LLC (CRD #7717) of Pacific Grove, CA. His previous employers include SWS Financial Services, INC. (CRD #17587) and LPL Financial LLC (CRD #6413), also of Pacific Grove, CA. No current employment information is available. He has been in the industry since 1996.<\/p>\n<p><a href=\"https:\/\/www.silverlaw.com\/blog\/silver-law-group-and-the-law-firm-of-david-r-chase-files-a-second-finra-arbitration-claim-against-independent-financial-group-concerning-selling-away-claims\/\" target=\"_blank\"><img loading=\"lazy\" decoding=\"async\" class=\"alignleft size-medium wp-image-4930\" src=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200.jpg\" alt=\"South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200\" width=\"300\" height=\"200\" srcset=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200.jpg 300w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-768x512.jpg 768w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683.jpg 1024w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-1000x667.jpg 1000w, https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-180x120.jpg 180w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>Pariser<\/a> is barred in all capacities after he failed to provide requested information to FINRA for an investigation. The documentation relates to allegations that he referred some of his customers to an individual who was not a registered FINRA broker. This unregistered individual and may have recommended to or actually sold these customers \u201cpotentially unsuitable\u201d securities. Pariser violated FINRA Rules 8210 and 2010 by refusing to provide this requested documentation, which led to him being barred. He signed an Acceptance, Waiver &amp; Consent (AWC) letter consenting to the sanctions, and he is barred effective 10\/04\/2018.<\/p>\n<p>His next disclosure is an employment separation from SWS Financial Services on 6\/20\/2014, which is connected by a closed customer dispute filed four days earlier, involving \u201cunauthorized discretion.\u201d The allegations state that <em>\u201cduring the course of normal e-mail correspondence review, firm supervisors discovered an e-mail message from the customer containing language indicating that the representative may have engaged in unauthorized discretionary trading.\u201d <\/em><\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/finra-bars-jon-pariser-after-allegations-of-customer-referrals-to-unregistered-individual\/\"  title=\"Continue Reading FINRA Bars Jon Pariser After Allegations Of Customer Referrals To Unregistered Individual\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Our attorneys currently represent customers of Jon Pariser against Independent Financial Group for losses related to First Nationle Solution. Jon Richard Pariser (CRD #2755015) is a former registered broker whose last employer was Independent Financial Group, LLC (CRD #7717) of Pacific Grove, CA. His previous employers include SWS Financial Services, INC. (CRD #17587) and LPL [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[579,577,576],"tags":[1341,1342,222,1224,1343,1344,209],"class_list":["post-7448","post","type-post","status-publish","format-standard","hentry","category-broker-permanently-barred","category-finra-disciplinary-actions","category-unsuitable-investment-advice","tag-first-nationle-solution","tag-first-nationle-solution-independent-financial-group","tag-independent-financial-group","tag-jon-pariser","tag-jon-pariser-independent-financial-group","tag-securities-fraud-attorney","tag-unsuitability"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>FINRA Bars Jon Pariser After Allegations Of Customer Referrals To Unregistered Individual &#8212; Securities Arbitration Lawyers Blog &#8212; December 20, 2018<\/title>\n<meta name=\"description\" content=\"Our attorneys currently represent customers of Jon Pariser against Independent Financial Group for losses related to First Nationle Solution. Jon Richard &#8212; December 20, 2018\" \/>\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-bars-jon-pariser-after-allegations-of-customer-referrals-to-unregistered-individual\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"FINRA Bars Jon Pariser After Allegations Of Customer Referrals To Unregistered Individual &#8212; Securities Arbitration Lawyers Blog &#8212; December 20, 2018\" \/>\n<meta name=\"twitter:description\" content=\"Our attorneys currently represent customers of Jon Pariser against Independent Financial Group for losses related to First Nationle Solution. Jon Richard &#8212; December 20, 2018\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683.jpg\" \/>\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=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"FINRA Bars Jon Pariser After Allegations Of Customer Referrals To Unregistered Individual &#8212; Securities Arbitration Lawyers Blog &#8212; December 20, 2018","description":"Our attorneys currently represent customers of Jon Pariser against Independent Financial Group for losses related to First Nationle Solution. Jon Richard &#8212; December 20, 2018","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-bars-jon-pariser-after-allegations-of-customer-referrals-to-unregistered-individual\/","twitter_card":"summary_large_image","twitter_title":"FINRA Bars Jon Pariser After Allegations Of Customer Referrals To Unregistered Individual &#8212; Securities Arbitration Lawyers Blog &#8212; December 20, 2018","twitter_description":"Our attorneys currently represent customers of Jon Pariser against Independent Financial Group for losses related to First Nationle Solution. Jon Richard &#8212; December 20, 2018","twitter_image":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683.jpg","twitter_misc":{"Written by":"Silver Law Group","Est. reading time":"2 minutes"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-jon-pariser-after-allegations-of-customer-referrals-to-unregistered-individual\/","url":"https:\/\/www.silverlaw.com\/blog\/finra-bars-jon-pariser-after-allegations-of-customer-referrals-to-unregistered-individual\/","name":"FINRA Bars Jon Pariser After Allegations Of Customer Referrals To Unregistered Individual &#8212; Securities Arbitration Lawyers Blog &#8212; December 20, 2018","isPartOf":{"@id":"https:\/\/www.silverlaw.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-jon-pariser-after-allegations-of-customer-referrals-to-unregistered-individual\/#primaryimage"},"image":{"@id":"https:\/\/www.silverlaw.com\/blog\/finra-bars-jon-pariser-after-allegations-of-customer-referrals-to-unregistered-individual\/#primaryimage"},"thumbnailUrl":"https:\/\/www.silverlaw.com\/blog\/wp-content\/uploads\/2017\/07\/South-Florida-Broker-Brian-Michael-Berger-Permanently-Barred-by-FINRA-1024x683-300x200.jpg","datePublished":"2018-12-20T18:19:47+00:00","dateModified":"2018-12-20T18:21:36+00:00","author":{"@id":"https:\/\/www.silverlaw.com\/blog\/#\/schema\/person\/de64d999508b1ad10d608a99f0d2e752"},"description":"Our attorneys currently represent customers of Jon Pariser against Independent Financial Group for losses related to First Nationle Solution. 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