JONATHAN DAVID SCHWARTZ

JONATHAN DAVID SCHWARTZ is currently employed as a Broker and/or Investment Adviser at NYLIFE DISTRIBUTORS LLC located at 1257 BALBOA AVENUE, BURLINGAME, CA, 94010.

JONATHAN DAVID SCHWARTZ has worked at NYLIFE DISTRIBUTORS LLC since November 15, 2013

Disclosure History

JONATHAN DAVID SCHWARTZ has 1 Disclosure Event(s).

Date: March 20, 1998
Category: Customer Dispute
Allegations: Failure to follow instructions, damages45,000.
Damage Amount Requested: $45,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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