JOHN J VONDRA is currently employed as a Broker and/or Investment Adviser at EDWARD JONES located at 1645 PARKHILL DRIVE SUITE 5, BILLINGS, MT, 59102.
JOHN J VONDRA has worked at EDWARD JONES since February 27, 1992
Disclosure History
JOHN J VONDRA has 2 Disclosure Event(s).
Date: July 02, 2002 Category: Customer Dispute Allegations: CLIENT'S ATTORNEY IS ALLEGING JOHN VONDRA, THE IR, TOLD THE CLIENT THE FIDELITY GNMA SHE OWNED WAS A BAD INVESTMENT AND SHE SHOULD SELL IMMEDIATELY. CLAIMS IR SOLD THIS AND TWO OTHER FIDELITY FUNDS WITHOUT AUTHORIZATION AND THE PROCEEDS WERE USED TO BUY POLARIS II VAR ANNUITY ALSO WITHOUT AUTHORIZATION. ALSO CLAIMS CLIENT'S OBJECTIVES WERE LIQUIDITY, CASH FLOW AND SECURITY BUT WAS PUT INTO AN ANNUITY INVESTING 100% IN STOCKS. CLIENT CLAIMS SHE WAS NEVER COMFORTABLE WITH ANNUITIES BUT KEPT IT BECAUSE OF DEATH BENEFIT. CLAIMS THE DEATH BENEFIT WAS WRONG AMOUNT BECAUSE IR PUT WRONG DATE OF BIRTH DOWN ON APPLICATION. REQUESTS RETURN OF ORIGINAL INVESTMENT OF POLARIS ANNUITY PLUS INTEREST AND EXPENSES EVEN IF IF TURNS OUT THAT CLIENT DID AUTHORIZE PURCHASE BECAUSE IT WAS UNSUITABLE. LOSSES OVER $5,000 Damage Amount Requested: $5,000.00 Broker Comment: OUR RECORDS INDICATE CUSTOMER AFFIRMED, IN WRITING, SHE RECEIVED THE POLARIS II CONTRACT, NUMBERED [CONTRACT NUMBER], AND WAS AWARE THIS WAS A VARIABLE PRODUCT AND NOT GUARANTEED AS TO A FIXED RETURN. THIS CONFIRMATION ALSO STATES CUSTOMER RECEIVED CURRENT PROSPECTUSES AND SHE READ THEM CAREFULLY AND UNDERSTOOD THEIR CONTENTS. OUR RECORDS FURTHER INDICATE CUSTOMER ACKNOWLEDGED, IN WRITING, HER UNDERSTANDING OF THE TERMS OF THE SURRENDER SCHEDULE OF THE NEW CONTRACT AND THE DCA RATE ALONG WITH THE ALLOCATIONS TO THE SUBACCOUNTS. OUR RECORDS ALSO INDICATE CUSTOMER CURRENTLY OWNS A HARTFORD DIRECTOR VI VARIABLE ANNUITY PURCHASED MARCH 12, 1996.BASED ON MY REVIEW, IT APPEARS CUSTOMER WAS PROVIDED WITH DETAILS OF THIS INVESTMENT, TO INCLUDE CURRENT PROSPECTUSES AND CUSTOMER ACCOUNT STATEMENTS. IT APPEARS CUSTOMER'S ACCOUNT HAS BEEN HANDLED PROPERLY. THE ADDITION OF THE POLARIS II VARIABLE ANNUITY ALONG WITH CUSTOMER'S OTHER HOLDINGS APPEARS TO BE SUITABLE AND REPRESENTS A REASONABLE PORTION OF HER STATED NET WORTH. REQUEST FOR REIMBURSEMENT OF THE ORIGINAL INVESTMENT PLUS INTEREST IS RESPECTFULLY DENIED.
Date: January 14, 1988 Category: Employment Separation After Allegations Firm Name: D.A. DAVIDSON & CO. Termination Type: Permitted to Resign Allegations: N/ASUSPECTED USE OF PROSPECTING INFORMATIONBELIEVED TO BE OBTAINED IN AN UNAUTHORIZED MANNER. Broker Comment: THIRD PARTY NON SECURITIES INDUSTRY INDIVIDUALSINVOLVED HAVE REQUESTED ANONYMITY AND CONFIDENTIALITY AND AREFULLY SATISFIED WITH THE RESOLUTION OF THIS MATTER.ON WEDNESDAY, DECEMBER 28, 1987, I WAS MAKINGSOME PHONE CALLS AT APPROX. 8:00 P.M. AND WENT DOWNSTAIRS TOWHERE THE POP MACHINES ARE FOR A CAN OF POP. THE BASEMENTBUILDING IS BASICALLY VACANT EXCEPT FOR A COUPLE OF ROOMS. ISAW A DOOR OPEN THAT WAS NORMALLY SHUT AND I WALKED DOWN THEHALL. AS I APPROCHED THE DOOR, I WAS ASKED BY A JANITOR, WHOCAME BEHIND ME, IF SHE COULD HELP ME. I TOLD HER THAT I WASJUST SNOOPING AROUND AND SHE SAID THAT I SHOULD NOT BE IN THATAREA. I DID NOT REALIZE THE SENSITIVITY OF THE AREA OR THAT ITWAS AN ACTIVE AREA OF THE 1ST INTERSTATE BANK.
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