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Investor Names Jonathan Ebel in Suitability Dispute

Jonathan Ebel (CRD #: 5902719), a broker registered with Network 1 Financial Securities, is involved in a pending dispute, according to his BrokerCheck record, accessed on September 5, 2022. Keep reading to learn more about his conduct as a broker.

Investor Dispute

On June 9, 2022, an investor named Jonathan Ebel in allegations involving suitability, with the alleged violations occurring from 2016-2018. The investor seeks $100,000 in this pending dispute.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to determine whether an investment recommendation fits their client’s investment goals. Brokers must consult an investor’s profile, which contains the following characteristics:

  • Age
  • Financial goals
  • Risk tolerance
  • Time horizon (i.e., how long the investment will be held)
  • Investing experience
  • Tax status

Investors who rely on brokers for recommendations may be able to recover their losses by seeking out FINRA arbitration.

Tax Lien

On December 19, 2016, Jonathan Ebel was the subject of a $31,962 tax lien.

Background Information

Jonathan Ebel has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Jonathan Ebel is a registered broker in 26 states.

He has also worked for the following firms:

  • Laidlaw & Company (UK) (CRD#:119037)
  • Rockwell Global Capital (CRD#:142485)
  • EKN Financial Services (CRD#:113525)

Kurta Law Can Help

If you worked with Jonathan Ebel and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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