Jonathan Ben Mirer

Jonathan Ben Mirer is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 2370 Corporate Cir, Ste 160, Henderson, NV, 89074-7760.

Jonathan Ben Mirer has worked at AMERIPRISE FINANCIAL SERVICES, INC. since July 11, 2016

Disclosure History

Jonathan Ben Mirer has 8 Disclosure Event(s).

Date: October 25, 2016
Category: Customer Dispute
Allegations: Client verbally alleged unauthorized trading (8/27/2009-7/11/2016).
Damage Amount Requested: $62,000.00
Settlement Amount: $20,000.00

Date: July 26, 2016
Category: Customer Dispute
Allegations: Claimant alleges that from 2009 through 2016, FA made unauthorized trades and unsuitable investments.

Date: April 04, 2016
Category: Customer Dispute
Allegations: Client verbally alleged unsuitable investments in energy stocks (1/19/2005-4/14/2016).
Settlement Amount: $17,300.00

Date: March 23, 2016
Category: Customer Dispute
Allegations: Client verbally alleged she was never told about any of the trades in her account(9/13/2000-3/23/2016).
Damage Amount Requested: $40,000.00
Settlement Amount: $30,000.00

Date: March 17, 2016
Category: Customer Dispute
Allegations: Client verbally alleged unsuitable investments. (9/10/2008-3/17/2016)
Settlement Amount: $55,000.00

Date: June 04, 2001
Category: Customer Dispute
Allegations: CLAIMANTS ALLEGE INTER ALIA, COMMON LAW AND STATUTORY SECURITIES VIOLATIONS IN CONNECTION WITH EQUITY TRANSACTIONS FROM JANUARY THROUGH APRIL 2000
Damage Amount Requested: $282,000.00
Settlement Amount: $67,500.00
Broker Comment: CLAIMANTS AGREED TO COOPERATE IN THE EXPUNGEMENT OF THIS MATTER FROM MR. MIRER'S CRD. FURTHERMORE, MR. MIRER DID NOT CONTRIBUTE TO THE SETTLEMENT.

Date: December 01, 1992
Category: Employment Separation After Allegations
Firm Name: RAYMOND JAMES & ASSOCIATES, INC
Termination Type: Permitted to Resign
Allegations: N/AIT WAS DETERMINED THAT MR. MIRER AS GENERALPARTNER OF AN INVESTMENT PARTNERSHIP PAID MONIES TO HIMSELFWITHOUT ADEQUATE WRITTEN BACK-UP, WHICH MONIES WERESUBSEQUENTLY RETURNED
Broker Comment: I WAS PERMITTED TO RESIGN.AS GENERAL PARTNER, I HAD LEGAL AUTHORITY ANDOBLIGATION TO PAY ALL OPERATING EXPENSES OF THE PARTNERSHIP(SEC. 207,P7), INCLUDING ALL TAXES, ORGANIZATION AND INVESTMENTEXPENSES, LEGAL EXPENSES. IN AUG., 1992 THE PARTNERSHIP'SATTORNEYS RECOMMENDED AMENDING THE PARTNERSHIP DOCUMENTS,REWRITING TAX OPINIONS AND UPDATING REGISTRATIONS. THE LEGALWORK WAS ESTIMATED AT $10,000, AND $10,000 WAS WITHDRAWN FROMTHE PARTNERSHIP RESERVES. $2,500 WAS BILLED AND PAID, ANDAFTER BEING TOLD BY THE ATTORNEYS THAT NO FURTHER BILLS WEREFORTHCOMING IN 1992, I REDEPOSITED THE $7,500 BALANCE INTO THEPARTNERSHIP ACCOUNT. RAYMOND JAMES SAID I TOOK MONIES OUT OFTHE ACCOUNT WITHOUT BILLING DOCUMENTS AS BACKUP. BUT THEPARTNERSHIP DOCUMENTS ALLOWED WITHDRAWAL OF MONIES FOR RESERVESFOR LEGAL COSTS.

Date: November 12, 1986
Category: Customer Dispute
Allegations: 1) FAILURE & REFUSAL TO EXECUTE MKT ORDER BY[CUSTOMER] TO SELL; 2) RECOMMENDING SPECULATIVE, UNSUITABLE STOCKTO [CUSTOMER]; 3) SPECIFIC COMPANY RECOMMENDED WAS NOT FINANCIALLYSOUND/INSOLVENT; 4) [OTHER FIRM EMPLOYEE] & MIRER TRADED PARTICULAR STOCKOF OUR OWN & PREFERENTIAL CUSTOMERS BASED ON INFORMATION NOTGIVEN TO [CUSTOMER]. AWARD REQUEST OF $163,179.46.
Damage Amount Requested: $123,750.00 Damages Granted: $3,750.00
Broker Comment: THE RESPONDENT, MIRER, SHALL BE LIABLE TO THECLAIMANT AND SHALL PAY THE SUM OF THREE THOUSAND SEVEN HUNDREDFIFTY DOLLARS ($3,750.00), SUCH AMOUNT REPRESENTS CLAIMANTSACTUAL DAMAGES.SUMMARY:1) PAINEWEBBER ATTORNEY ASKED [CUSTOMER]DIRECTLY "DID YOU GIVE MR. MIRER A MARKET ORDER TO SELL THESTOCK"? [CUSTOMER'S] REPLY "NO I DIDN'T" 2) P.W. ATTORNEY PROVED BYGETTING RECORDS OF OTHER [CUSTOMER] ACCOUNTS AT OTHER FIRMS, THATHE DISTINCTLY BOUGHT SPECULATIVE STOCKS IN LARGE SIZE(100,000+). 3) WE SUBMITTED QUARTERLY 10Q, 10K TO DISPROVETHIS, COMPANY WAS EARNING MONEY, HAS NO DEBT. 4) P.W. PROVIDEDCOMPUTER RUNS OF ALL TRANSACTIONS IN THE STOCK, MIRER & [OTHER FIRM EMPLOYEE]DID NO TRADING, NOR DID ANY PREFERENTIAL CUSTOMERS. IN SUMMARY,ALL CLAIMS IN CASE WERE DISPROVED; ONLY QUESTIONABLE CONDUCTACCORDING TO ARBITRATORS - BROKERS EVENTUAL RESPON. TO TELLCLIENT TO SELL IN THESE SITUATIONS.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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