Articles Tagged with Jon Pariser

shutterstock_123928846-300x268According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Jon Pariser (Pariser), formerly associated with Independent Financial Group, LLC (Independent Financial) in Pacific Grove, California was sanctioned by FINRA resulting in a bar from the industry.  In October 2018 Pariser consented to the FINRA sanction and an entry of findings that he failed to provide FINRA with requested documents and information related to allegations that he referred some of his customers to an individual who was not registered and who may have recommended or sold potentially unsuitable securities to them.

Previously, in June 2014 Pariser was discharged by SWS Financial Services, Inc. for potentially wrongfully exercising discretion in client accounts.  In addition, Pariser has had three customer complaints.

At this time it is unclear the nature or scope of the alleged outside business activities (OBAs) and private securities transactions.  Pariser’s public disclosures list no OBA activity.

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