Criminal Fraud Charges Against JONATHAN FREEZE of LPL

FREDERICKSBURG, VIRGINIA

Have you lost money with financial advisor Jonathan Freeze of Fredericksburg, Virginia? We are continuing to look into allegations made against Jonathan D. Freeze.

In 2017, FINRA, the Financial Industry Regulatory Authority barred Freeze from the securities industry after he failed to respond to a FINRA investigation. In 2021, the Securities and Exchange Commission alleged that Freeze engaged in fraud. A parallel criminal case was also filed against Freeze, along with Kevin T. Carney and Robert Irey.

Jonathan Freeze was a financial advisor and registered representative of LPL Financial from March 2009 to July 2013. He was also affiliated with Summit Brokerage Services from July 2013 to July 2015, and with Fortune Financial Services from July 2015 to April 2017. He worked at branch offices in Fredericksburg, Virginia and Canonsburg, Pennsylvania. Freeze was previously suspended for 10 days after borrowing $20,000 from a customer. Freeze was also fired by LPL Financial after it discovery this customer loan.

Brokerage firms like LPL Financial and Summit Brokerage Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout Virginia and Pennsylvania. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial.

Click to view COMPLAINT: Freeze, Jonathan SEC Complaint

Click to view FINRA AWC: Freeze, Jonathan FINRA AWC

Click to view BROKERCHECK: Freeze, Jonathan BrokerCheck 8.15.17