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IFG's Jon Pariser Barred During Investigation into Unsuitable Investments, Referral to Unlicensed Agent

FINRA barred former Independent Financial Group (Pacific Grove, CA) broker Jon Richard Pariser after he failed to cooperate with an investigation into allegations surrounding the recommendation or sale of potentially unsuitable securities to some of Pariser's customers at IFG.

AWC #2018058207401

The present findings state that Pariser (CRD #2755015) referred some of his IFG clients to an unregistered individual who in turn recommended or sold potentially unsuitable securities to them; Pariser resigned from IFG in May 2018, shortly before FINRA's investigation.

Pariser's prior firm, SWS Financial Services, also of Pacific Grove, had terminated Pariser in 2014 for unauthorized use of discretion.

Prior to that, Pariser in 2007 agreed to pay $50,000 to an LPL Financial customer of his who had alleged unauthorized purchase of equities, which followed a similarly settled 2006 customer dispute alleging that Pariser had purchased several unsuitable and/or unsafe NYSE company bonds without approval.

If you have invested with former Independent Financial Group and SWS Financial Services broker Jon Richard Pariser or with any registered representative or financial adviser who has referred you to a representative or broker who was not properly registered, or whose unsuitable recommendations and unauthorized transactions have proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for investigation and consultation.

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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
Located at 12711 Ventura Boulevard, Suite #440 Studio City, CA 91604. View Map
Phone: (800) 699-1881 | Local Phone: (818) 760-9880.
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