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BrokerCheck Report
JONATHAN DOUGLAS FREEZE
Section Title
Report Summary
Broker Qualifications
Registration and Employment History
Disclosure Events
CRD# 2642023
1
2 - 3
4 - 5
6
Page(s)
About BrokerCheck®
BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.
· What is included in a BrokerCheck report?· BrokerCheck reports for individual brokers include information such as employment history, professional
qualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheckreports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of thesame disclosure events mentioned above.
· Please note that the information contained in a BrokerCheck report may include pending actions orallegations that may be contested, unresolved or unproven. In the end, these actions or allegations may beresolved in favor of the broker or brokerage firm, or concluded through a negotiated settlement with no admissionor finding of wrongdoing.
· Where did this information come from?· The information contained in BrokerCheck comes from FINRA’s Central Registration Depository, or
CRD® and is a combination of: o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers and
brokerage firms to submit as part of the registration and licensing process, and o information that regulators report regarding disciplinary actions or allegations against firms or brokers.
· How current is this information?· Generally, active brokerage firms and brokers are required to update their professional and disciplinary
information in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokersand regulators is available in BrokerCheck the next business day.
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JONATHAN D. FREEZE
CRD# 2642023
This broker is not currently registered.
Report Summary for this Broker
This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.
Disclosure Events
All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.
Are there events disclosed about this broker? Yes
The following types of disclosures have beenreported:
Type Count
Regulatory Event 3
Customer Dispute 9
Termination 2
Financial 12
Investment Adviser RepresentativeInformation
https://www.adviserinfo.sec.gov
The information below represents the individual'srecord as a broker. For details on this individual'srecord as an investment adviser representative,visit the SEC's Investment Adviser PublicDisclosure website at
Broker Qualifications
This broker is not currently registered.
This broker has passed:
0 Principal/Supervisory Exams
2 General Industry/Product Exams
2 State Securities Law Exams
Registration History
This broker was previously registered with thefollowing securities firm(s):
FORTUNE FINANCIAL SERVICES, INC.CRD# 42150Canonsburg, PA07/2015 - 04/2017
SUMMIT BROKERAGE SERVICES, INC.CRD# 34643FREDERICKSBURG, VA07/2013 - 07/2015
LPL FINANCIAL LLCCRD# 6413FREDERICKSBURG, VA03/2009 - 07/2013
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Broker Qualifications
Registrations
This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currentlyregistered and licensed with, the category of each license, and the date on which it became effective. This section alsoprovides, for every brokerage firm with which the broker is currently employed, the address of each branch where thebroker works.
This broker is not currently registered.
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Broker Qualifications
Industry Exams this Broker has Passed
This individual has passed 0 principal/supervisory exams, 2 general industry/product exams, and 2 statesecurities law exams.
This section includes all securities industry exams that the broker has passed. Under limited circumstances, a brokermay attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying workexperience. Any exam waivers that the broker has received are not included below.
Exam Category Date
Principal/Supervisory Exams
No information reported.
Exam Category Date
General Industry/Product Exams
Securities Industry Essentials Examination 04/17/2017SIE
Investment Company Products/Variable Contracts Representative Examination 10/06/1995Series 6
Exam Category Date
State Securities Law Exams
Uniform Investment Adviser Law Examination 04/12/2007Series 65
Uniform Securities Agent State Law Examination 12/22/1995Series 63
Additional information about the above exams or other exams FINRA administers to brokers and other securitiesprofessionals can be found at www.finra.org/brokerqualifications/registeredrep/.
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Registration and Employment History
Registration History
Registration Dates Firm Name CRD# Branch Location
The broker previously was registered with the following firms:
07/2015 - 04/2017 FORTUNE FINANCIAL SERVICES, INC. 42150 Canonsburg, PA
07/2013 - 07/2015 SUMMIT BROKERAGE SERVICES, INC. 34643 FREDERICKSBURG, VA
03/2009 - 07/2013 LPL FINANCIAL LLC 6413 FREDERICKSBURG, VA
10/1995 - 04/2009 LINCOLN FINANCIAL ADVISORSCORPORATION
3978 CANONSBURG, PA
10/1995 - 03/2006 THE LINCOLN NATIONAL LIFE INSURANCECOMPANY
2580 GLASTONBURY, CT
Employment History
Employment Dates Employer Name Employer Location
This section provides up to 10 years of an individual broker's employment history as reported by the individual broker onthe most recently filed Form U4.
Please note that the broker is required to provide this information only while registered with FINRA or a nationalsecurities exchange and the information is not updated via Form U4 after the broker ceases to be registered.Therefore, an employment end date of "Present" may not reflect the broker's current employment status.
07/2015 - Present FORTUNE FINANCIAL SERVICES, INC MONACA, PA
07/2015 - 08/2015 PROSPERITY WEALTH MANAGEMENT, INC. SAN RAMON, CA
07/2013 - 07/2015 SUMMIT BROKERAGE SERVICES INC FREDERICKBURG, VA
07/2013 - 07/2015 SUMMIT FINANCIAL GROUP INC FREDERICKSBURG, VA
08/2010 - 07/2013 STRATOS WEALTH PARTNERS, LTD FREDERICKSBURG, VA
03/2009 - 07/2013 LPL FINANCIAL CORPORATION GLEN ALLEN, VA
Other Business Activities
This section includes information, if any, as provided by the broker regarding other business activities the broker iscurrently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This sectiondoes not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and isrecognized as tax exempt.
REPRESENTATIVE IS SELLING FIXED INSURANCE PRODUCTS: WHOLE LIFE, TERM, LTC, UL AND FIXEDANNUITIES.
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Registration and Employment History
Other Business Activities, continued
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Disclosure Events
What you should know about reported disclosure events:
1. All individuals registered to sell securities or provide investment advice are required to disclose customercomplaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings, and criminal or civiljudicial proceedings.
2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular
criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules
or conduct governing the industry and that the activity resulted in damages of at least $5,000. o
3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers,
brokerage firms and regulators. When more than one of these sources reports information for the samedisclosure event, all versions of the event will appear in the BrokerCheck report. The different versionswill be separated by a solid line with the reporting source labeled.
o4. There are different statuses and dispositions for disclosure events:
o A disclosure event may have a status of pending, on appeal, or final.§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently
being appealed.§ A "final" event has been concluded and its resolution is not subject to change.
o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or
(2) an administrative panel in an action brought by a regulator that is contested by the partycharged with some alleged wrongdoing.
§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Pleasenote that brokers and brokerage firms may choose to settle customer disputes or regulatorymatters for business or other reasons.
§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoingon the part of the individual broker. Such matters generally involve customer disputes.
For your convenience, below is a matrix of the number and status of disclosure events involving this broker.Further information regarding these events can be found in the subsequent pages of this report. You also maywish to contact the broker to obtain further information regarding these events.
Final On AppealPending
Regulatory Event 1 2 0
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Customer Dispute 8 1 N/A
Termination N/A 2 N/A
Financial 0 12 N/A
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Disclosure Event Details
When evaluating this information, please keep in mind that a discloure event may be pending or involve allegationsthat are contested and have not been resolved or proven. The matter may, in the end, be withdrawn, dismissed,resolved in favor of the broker, or concluded through a negotiated settlement for certain business reasons (e.g., tomaintain customer relationships or to limit the litigation costs associated with disputing the allegations) with noadmission or finding of wrongdoing.
This report provides the information exactly as it was reported to CRD and therefore some of the specific data fieldscontained in the report may be blank if the information was not provided to CRD.
Regulatory - Final
This type of disclosure event may involve (1) a final, formal proceeding initiated by a regulatory authority (e.g., a statesecurities agency, self-regulatory organization, federal regulatory such as the Securities and Exchange Commission,foreign financial regulatory body) for a violation of investment-related rules or regulations; or (2) a revocation orsuspension of a broker's authority to act as an attorney, accountant, or federal contractor.
Disclosure 1 of 2
Reporting Source: Regulator
Regulatory Action InitiatedBy:
FINRA
Sanction(s) Sought: Other: N/A
Date Initiated: 08/14/2017
Docket/Case Number: 2017052701401
Employing firm when activityoccurred which led to theregulatory action:
Product Type: No Product
Allegations: Without admitting or denying the findings, Freeze consented to the sanction and tothe entry of findings that he refused to provide the documents and information inconnection with an ongoing investigation relating to his recommendation ofvariable annuities.
Current Status: Final
Resolution: Acceptance, Waiver & Consent(AWC)
Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?
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Resolution Date: 08/14/2017
Sanctions Ordered:
Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?
No
Bar (Permanent)
If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?
No
(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?
(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or
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(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or
(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?
Capacities Affected: All capacities
Duration: Indefinite
Start Date: 08/14/2017
End Date:
Sanction 1 of 1
Sanction Type: Bar (Permanent)
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Disclosure 2 of 2
i
Reporting Source: Regulator
Regulatory Action InitiatedBy:
FINRA
Sanction(s) Sought:
Date Initiated: 10/15/2015
Docket/Case Number: 2013036251001
Employing firm when activityoccurred which led to theregulatory action:
LPL Financial LLC
Product Type: No Product
Allegations: Without admitting or denying the findings, Freeze consented to the sanctions andto the entry of findings that he borrowed $20,000 from his member firm's customerwith whom he had a personal relationship, nevertheless he failed to provide thefirm with prior notice of the loan and failed to obtain prior written pre-approval forthe loan from the firm. Later, Freeze fully repaid the customer, including interest.
Current Status: Final
Resolution: Acceptance, Waiver & Consent(AWC)
Resolution Date: 10/15/2015
Sanctions Ordered:
Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?
No
Civil and Administrative Penalty(ies)/Fine(s)Suspension
If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?
No
(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?
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(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?
(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or
(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?
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Regulator Statement fine paid in full on September 15, 2016.
(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?
Capacities Affected: any capacity
Duration: 10 business days
Start Date: 11/02/2015
End Date: 11/13/2015
Sanction 1 of 1
Sanction Type: Suspension
Monetary Related Sanction: Civil and Administrative Penalty(ies)/Fine(s)
Total Amount: $5,000.00
Portion Levied againstindividual:
$5,000.00
Date Paid by individual: 09/15/2016
Was any portion of penaltywaived?
No
Amount Waived:
Monetary Sanction 1 of 1
Payment Plan: deferred
Is Payment Plan Current:
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Regulator Statement fine paid in full on September 15, 2016.
iReporting Source: Broker
Regulatory Action InitiatedBy:
FINRA
Sanction(s) Sought:
Date Initiated: 10/15/2015
Docket/Case Number: 2013036251001
Employing firm when activityoccurred which led to theregulatory action:
LPL Financial LLC
Product Type: No Product
Allegations: Without admitting or denying the findings, Freeze consented to the sanctions andto the entry of findings that he borrowed $20,000 from his member firm's customerwith whom he had a personal relationship, nevertheless he failed to provide thefirm with prior notice of the loan and failed to obtain prior written pre-approval forthe loan from the firm. Later, Freeze fully repaid the customer, including interest.
Current Status: Final
Resolution: Acceptance, Waiver & Consent(AWC)
Resolution Date: 10/15/2015
Sanctions Ordered:
Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?
No
Civil and Administrative Penalty(ies)/Fine(s)Suspension
Capacities Affected: all capacities
Duration: 10 business days
Start Date: 11/02/2015
End Date: 11/13/2015
Sanction 1 of 1
Sanction Type: Suspension
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End Date: 11/13/2015
Monetary Related Sanction: Civil and Administrative Penalty(ies)/Fine(s)
Total Amount: $5,000.00
Portion Levied againstindividual:
$5,000.00
Date Paid by individual:
Was any portion of penaltywaived?
No
Amount Waived:
Monetary Sanction 1 of 1
Payment Plan: deferred
Is Payment Plan Current:
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Regulatory - Pending
This type of disclosure event involves a pending formal proceeding initiated by a regulatory authority (e.g., a statesecurities agency, self-regulatory organization, federal regulatory agency such as the Securities and ExchangeCommission, foreign financial regulatory body) for alleged violations of investment-related rules or regulations.
Disclosure 1 of 1
Reporting Source: Broker
Regulatory Action InitiatedBy:
FINRA
Sanction(s) Sought: Other: NONE AT THIS TIME
Date Initiated: 07/08/2015
Docket/Case Number: 20130362510
Employing firm when activityoccurred which led to theregulatory action:
SUMMIT BROKERAGE SERVICES
Product Type: No Product
Allegations: MR. FREEZE IS THE SUBJECT OF A FINRA INVESTIGATION FOR VIOLATIONOF FINRA RULES 3240 AND 2010 FOR BORROWING FUNDS FROM ACUSTOMER WITHOUT OBTAINING PRIOR WRITTEN APPROVAL.
Current Status: Pending
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Customer Dispute - Closed-No Action / Withdrawn / Dismissed / Denied
This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit thatcontains allegations of sales practice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that the broker engaged in, sales practice violations resulting incompensatory damages of at least $5,000, forgery, theft, or misappropriation, or conversion of funds or securities.
Disclosure 1 of 1
Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Fortune Financial Services, In
Unsuitable investment, may be promissory notes sold away.
Product Type: No Product
Alleged Damages: $165,000.00
Date Complaint Received: 12/11/2017
Complaint Pending? No
Status:
Status Date: 02/11/2020
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Closed/No Action
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
No
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Customer Dispute - Pending
This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit thatcontains allegations of sales practice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that the broker engaged in, sales practice violations resulting incompensatory damages of at least $5,000, forgery, theft, or misappropriation, or conversion of funds or securities.
Disclosure 1 of 8
Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Fortune Financial Services, Inc.
Between July and October 2016 Freeze facilitated the authorized liquidation of$175k from clients account to purchase promissory notes.
Product Type: Promissory Note
Alleged Damages: $175,000.00
Date Complaint Received: 06/14/2019
Complaint Pending? Yes
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Is this an oral complaint? No
Is this a written complaint? No
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA Dispute Resolution
Docket/Case #: 19-01612
Filing date ofarbitration/CFTC reparationor civil litigation:
06/04/2019
Disclosure 2 of 8
i
Reporting Source: Firm
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Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Fortune Financial Services, Inc
Selling away. Mr. Freeze requested and received funds to be invested inAlternative Energy Holdings, possiblya Reg D investment outside the scope of a limited purpose broker dealer.
Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $330,000.00
Date Complaint Received: 03/08/2019
Complaint Pending? No
Status:
Status Date: 02/07/2020
Settlement Amount:
Individual ContributionAmount:
Date Notice/Process Served: 02/07/2020
Arbitration Pending? Yes
Customer Complaint Information
Arbitration Information
Evolved into Arbitration/CFTC reparation (the individual is a named party)
Is this an oral complaint? No
Is this a written complaint? No
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA Office of Dispute Resolution, Midwest Regional Office
Docket/Case #: 19-00650
Filing date ofarbitration/CFTC reparationor civil litigation:
03/05/2019
Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):
FINRA Office of Dispute Resolution, Midwest Regional Office
Docket/Case #: 19-00650
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Arbitration Pending? Yes
Disclosure 3 of 8
i
Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Fortune Financial Services, Inc
Selling away. Mr. Freeze requested and received funds to be invested inAlternative Energy Holdings, possiblya Reg D investment outside the scope of a limited purpose broker dealer.
Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $84,000.00
Date Complaint Received: 03/08/2019
Complaint Pending? Yes
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Is this an oral complaint? No
Is this a written complaint? No
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA Office of Dispute Resolution, Midwest Regional Office
Docket/Case #: 19-00652
Filing date ofarbitration/CFTC reparationor civil litigation:
03/05/2019
Disclosure 4 of 8
i
Reporting Source: Firm
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Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Fortune Financial Services, Inc
Selling away. Mr. Freeze received $54,000 to be invested in Alternative EnergyHoldings, possibly a Reg D investment outside the scope of a limited purposebroker dealer.
Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $90,000.00
Date Complaint Received: 02/19/2019
Complaint Pending? Yes
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Is this an oral complaint? No
Is this a written complaint? No
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA Office of Dispute Resolution, Midwest Regional Office
Docket/Case #: 19-00435
Filing date ofarbitration/CFTC reparationor civil litigation:
02/07/2019
Disclosure 5 of 8
i
Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Fortune Financial Services, Inc
Selling away. Mr. Freeze requested and received $300,000 to be invested inAlternative Energy Holdings, possibly a Reg D investment outside the scope of alimited purpose broker dealer.
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Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $370,000.00
Date Complaint Received: 02/21/2019
Complaint Pending? Yes
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Is this an oral complaint? No
Is this a written complaint? No
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA Office of Dispute Resolution, Midwest Regional Office
Docket/Case #: 19-00444
Filing date ofarbitration/CFTC reparationor civil litigation:
02/08/2019
Disclosure 6 of 8
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Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Fortune Financial Services, Inc
Mr. Freeze received $50,000 to be invested in Alternative Energy Holdings,possibly a Reg D investment outside the scope of a limited purpose broker dealer
Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $75,000.00
Is this an oral complaint? No
Is this a written complaint? No
Is this an arbitration/CFTCreparation or civil litigation?
Yes
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Date Complaint Received: 02/21/2019
Complaint Pending? Yes
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Arbitration/Reparation forumor court name and location:
FINRA Office of Dispute Resolution, Midwest Regional Office
Docket/Case #: 19-00442
Filing date ofarbitration/CFTC reparationor civil litigation:
02/08/2019
Disclosure 7 of 8
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Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Fortune Financial Services, Inc
Selling away. Mr. Freeze requested and received $60104 to be invested inAlternative Energy Holdings, possibly a Reg D investment outside the scope of alimited purpose broker dealer.
Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $118,500.00
Customer Complaint Information
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA Office of Dispute Resolution, Midwest Regional Office
Docket/Case #: 19-00607
Filing date ofarbitration/CFTC reparationor civil litigation:
02/27/2019
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Date Complaint Received: 02/27/2019
Complaint Pending? Yes
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Disclosure 8 of 8
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Reporting Source: Firm
Employing firm whenactivities occurred which ledto the complaint:
Allegations:
Fortune Financial Services, Inc.
Selling away. Mr. Freeze requested and received $30,000 to be invested inAlternative Energy Holdings, possibly a Reg D investment outside the scope of alimited purpose broker dealer.
Product Type: Direct Investment-DPP & LP Interests
Alleged Damages: $30,000.00
Date Complaint Received: 10/30/2017
Complaint Pending? Yes
Settlement Amount:
Individual ContributionAmount:
Customer Complaint Information
Is this an oral complaint? No
Is this a written complaint? Yes
Is this an arbitration/CFTCreparation or civil litigation?
Yes
Arbitration/Reparation forumor court name and location:
FINRA Office of Dispute Resolution, Midwest Regional Office
Docket/Case #: 19-00615
Filing date ofarbitration/CFTC reparationor civil litigation:
02/27/2019
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Individual ContributionAmount:
Firm Statement This DRP amended 3-7-19 after receipt of Arbitration filing. Mr. Freeze is not anamed party in the arb.
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Employment Separation After Allegations
This type of disclosure event involves a situation where the broker voluntarily resigned, was discharged, or was permittedto resign after being accused of (1) violating investment-related statutes, regulations, rules or industry standards ofconduct; (2) fraud or the wrongful taking of property; or (3) failure to supervise in connection with investment-relatedstatutes, regulations, rules, or industry standards of conduct.
Disclosure 1 of 2
Reporting Source: Firm
Employer Name: LPL FINANCIAL LLC
Termination Type: Discharged
Termination Date: 07/08/2013
Allegations: ACCEPTED LOAN FROM CUSTOMER IN VIOLATION OF FIRM POLICY.
Product Type: No Product
iReporting Source: Broker
Employer Name: LPL FINANCIAL
Termination Type: Discharged
Termination Date: 07/08/2013
Allegations: ACCEPTED LOAN FROM CUSTOMER IN VIOLATION OF FIRM POLICY
Product Type: No Product
Broker Statement I HAVE A HIGH SCHOOL FRIEND THAT I HAVE KNOWN FOR 35 YEARS. WEHAVE BEEN FRIENDS WHEN I WAS AT PNC BANK AND AS A BROKER. WEHAVE ASSISTED EACH OTHER DURING OUR FRIENDSHIP. SOME OF THATASSISTANCE HAS BEEN IN THE FORM OF LOANS BACK AND FORTH WHENNEEDED FRIEND TO FRIEND.
MY FRIEND HAD MADE ME A LOAN THAT WAS FOR MARKETING PURPOSESFOR $20,000. I KEPT THE PROMISSORY NOTE IN THE FILE IN MY OFFICE. IWAS NOT HIDING ANYTHING SINCE IT WAS FROM A FRIEND.
WHEN I WAS RECENTLY AUDITED BY LPL, I STATED I DID HAVE A LOANWITH A FRIEND/CLIENT. I SHOWED THEM THE PROMISSORY NOTE. IT HASBEEN SUBSEQUENTLY PAID OFF IN FULL.
Disclosure 2 of 2
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Reporting Source: Firm
Employer Name: STRATOS WEALTH PARTNERS, LTD
Termination Type: Discharged
Termination Date: 07/08/2013
Allegations: LPL FINANCIAL DISCHARGED MR. FREEZE BECAUSE HE ACCEPTED ALOAN FROM A CUSTOMER IN VIOLATION OF FIRM POLICY
Product Type: No Product
iReporting Source: Broker
Employer Name: STRATOS WEALTH PARTNERS LTD
Termination Type: Discharged
Termination Date: 07/08/2013
Allegations: LPL FINANCIAL DISCHARGED MR. FREEZE BECAUSE HE ACCEPTED ALOAN FROM A CUSTOMER IN VIOLATION OF FIRM POLICY
Product Type: No Product
Broker Statement I HAVE A HIGH SCHOOL FRIEND THAT I HAVE KNOWN FOR 35 YEARS. WEHAVE BEEN FRIENDS WHEN I WAS AT PNC BANK AND AS A BROKER. WEHAVE ASSISTED EACH OTHER DURING OUR FRIENDSHIP. SOME OF THATASSISTANCE HAS BEEN IN THE FORM OF LOANS BACK AND FORTH WHENNEEDED FRIEND TO FRIEND.
MY FRIEND HAD MADE ME A LOAN THAT WAS FOR MARKETING PURPOSESFOR $20,000. I KEPT THE PROMISSORY NOTE IN THE FILE IN MY OFFICE. IWAS NOT HIDING ANYTHING SINCE IT WAS FROM A FRIEND.
WHEN I WAS RECENTLY AUDITED BY LPL, I STATED I DID HAVE A LOANWITH A FRIEND/CLIENT. I SHOWED THEM THE PROMISSORY NOTE. IT HASBEEN SUBSEQUENTLY PAID OFF IN FULL.
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Financial - Final
This type of disclosure event involves a bankruptcy, compromise with one or more creditors, or Securities InvestorProtection Corporation liquidation involving the broker or an organization/brokerage firm the broker controlled thatoccurred within the last 10 years.
Disclosure 1 of 12
Reporting Source: Broker
Action Type: Compromise
Action Date: 10/01/2013
Organization Investment-Related?
Action Pending? No
Disposition: SETTLED IN FULL
Disposition Date: 10/01/2013
I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS.
Broker Statement
Name of Creditor: NATIONAL CITY BANK
Original Amount Owed: $16,500.00
Terms Reached with Creditor: ACCOUNT NUMBER XXXX4624 - - SETTLED FOR $7500.00
If a compromise with creditor,provide:
Disclosure 2 of 12
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Reporting Source: Broker
Action Type: Compromise
Action Date: 10/01/2013
Organization Investment-Related?
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Action Pending? No
Disposition: SETTLED IN FULL
Disposition Date: 10/01/2013
I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS
Broker Statement
Name of Creditor: NATIONAL CITY BANK
Original Amount Owed: $17,000.00
Terms Reached with Creditor: ACCOUNT NUMBER XXXX1289 - - SETTLED FOR $7500.00
If a compromise with creditor,provide:
Disclosure 3 of 12
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Reporting Source: Broker
Action Type: Compromise
Action Date: 06/29/2011
Organization Investment-Related?
Action Pending? No
Disposition: Satisfied/Released
Disposition Date: 11/29/2011
I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Name of Creditor: DISCOVER FINANCIAL SERVICES, LLC
Original Amount Owed: $8,298.46
Terms Reached with Creditor: COMPROMISED/SETTLED FOR $6651.00
If a compromise with creditor,provide:
29©2020 FINRA. All rights reserved. Report about JONATHAN D. FREEZE.
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I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Disclosure 4 of 12
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Reporting Source: Broker
Action Type: Compromise
Action Date: 06/30/2011
Organization Investment-Related?
Action Pending? No
Disposition: Satisfied/Released
Disposition Date: 08/25/2011
I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Name of Creditor: AMEX
Original Amount Owed: $8,842.92
Terms Reached with Creditor: COMPROMISED/SETTLED FOR $7075.00
If a compromise with creditor,provide:
30©2020 FINRA. All rights reserved. Report about JONATHAN D. FREEZE.
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I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Disclosure 5 of 12
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Reporting Source: Broker
Action Type: Compromise
Action Date: 12/05/2011
Organization Investment-Related?
Action Pending? No
Disposition: Satisfied/Released
Disposition Date: 01/25/2012
I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Name of Creditor: CHASE
Original Amount Owed: $14,287.17
Terms Reached with Creditor: COMPROMISED/SETTLED FOR $5715.00
If a compromise with creditor,provide:
Disclosure 6 of 12
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Reporting Source: Broker
Action Type: Compromise
10/11/2010
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Action Date: 10/11/2010
Organization Investment-Related?
Action Pending? No
Disposition: Satisfied/Released
Disposition Date: 12/29/2010
I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Name of Creditor: FIA CSNA
Original Amount Owed: $11,012.46
Terms Reached with Creditor: COMPROMISED/SETTLED FOR $3900.00
If a compromise with creditor,provide:
Disclosure 7 of 12
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Reporting Source: Broker
Action Type: Compromise
Action Date: 10/11/2010
Organization Investment-Related?
Action Pending? No
Disposition: Satisfied/Released
Disposition Date: 10/29/2010
32©2020 FINRA. All rights reserved. Report about JONATHAN D. FREEZE.
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I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Name of Creditor: BANK OF AMERICA
Original Amount Owed: $4,509.68
Terms Reached with Creditor: COMPROMISED/SETTLED FOR $1600.00
If a compromise with creditor,provide:
Disclosure 8 of 12
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Reporting Source: Broker
Action Type: Compromise
Action Date: 10/11/2010
Organization Investment-Related?
Action Pending? No
Disposition: Satisfied/Released
Disposition Date: 10/29/2010
Name of Creditor: BANK OF AMERICA
Original Amount Owed: $4,186.28
Terms Reached with Creditor: COMPROMISED/SETTLED FOR $1500.00
If a compromise with creditor,provide:
33©2020 FINRA. All rights reserved. Report about JONATHAN D. FREEZE.
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I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Disclosure 9 of 12
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Reporting Source: Broker
Action Type: Compromise
Action Date: 12/27/2010
Organization Investment-Related?
Action Pending? No
Disposition: Satisfied/Released
Disposition Date: 03/27/2011
I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Name of Creditor: BARCLAYS BANK
Original Amount Owed: $27,500.00
Terms Reached with Creditor: COMPROMISED/SETTLED FOR $9615.00
If a compromise with creditor,provide:
34©2020 FINRA. All rights reserved. Report about JONATHAN D. FREEZE.
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I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Disclosure 10 of 12
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Reporting Source: Broker
Action Type: Compromise
Action Date: 02/15/2011
Organization Investment-Related?
Action Pending? No
Disposition: Satisfied/Released
Disposition Date: 05/15/2012
I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Name of Creditor: FIDELITY BANK
Original Amount Owed: $50,000.00
Terms Reached with Creditor: COMPROMISED/SETTLED FOR $ 40,000.00
If a compromise with creditor,provide:
Disclosure 11 of 12
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Reporting Source: Broker
Action Type: Compromise
04/18/2011
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Action Date: 04/18/2011
Organization Investment-Related?
Action Pending? No
Disposition: Satisfied/Released
Disposition Date: 08/31/2011
I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Name of Creditor: PNC VISA
Original Amount Owed: $21,301.69
Terms Reached with Creditor: COMPROMISED/SETTLED FOR $7577.00
If a compromise with creditor,provide:
Disclosure 12 of 12
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Reporting Source: Broker
Action Type: Compromise
Action Date: 04/04/2012
Organization Investment-Related?
Action Pending? No
Disposition: Satisfied/Released
Disposition Date: 05/01/2013
36©2020 FINRA. All rights reserved. Report about JONATHAN D. FREEZE.
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AGENT IS MAKING PAYMENT UNIL 03/29/2013.I GOT DIVORCED AND THE DEBT WAS TO BE SPLIT 50-50 BETWEEN MYWIFE AND ME. SOON AFTER THE DIVORCE WAS FINAL, SHE FILEDBANKRUPTCY AND PUT 100% OF THE DEBT ON ME. I CONTACTEDDRCOA(DEBT RELIEF CENTERS OF AMERICA) AND THEY AGREED THATTHEY WOULD HANDLE NEGOTIATIONS WITH ALL MY UNSECUREDCREDITORS. I WAS WILLING TO PAY UP TO 50% OF WHAT WAS OWED.DRCOA IS GATHERING ALL THE SETTLEMENT AGREEMENTS I HAD WITHALL MY CREDITORS AND THEY SAID THAT THOSE TWO IN PARTICULARWERE AGREED TO, IN WRITING, BEFORE THE JUDGMENT DATES ANDTHEY HAD NO IDEA THAT JUDGMENTS WERE FILED EITHER , SINCE WEAGREED AHEAD OF TIME.
Broker Statement
Name of Creditor: PNC BANK
Original Amount Owed: $55,188.56
Terms Reached with Creditor: COMPROMISED/SETTLED FOR 19,500.00
If a compromise with creditor,provide:
37©2020 FINRA. All rights reserved. Report about JONATHAN D. FREEZE.
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