Jonathan E. Best

03/03/2025: It has been determined that the Offer be accepted and that findings be made as follows: SUMMARY Between December 2017 and December 2019, while he was associated with Raymond James Financial Services, Inc. (CRD No. 6694), Respondent Jonathan E. Best violated FINRA Rule 2010 by effecting 71 unauthorized trades in the account of a senior customer with diminished capacity (Customer A). In addition, Best violated FINRA Rule 2010 by submitting two false compliance attestations to Raymond James. In January 2018 and January 2019, Best falsely attested “no” to the firm’s question asking if he had “any senior investors or other vulnerable adults for which [he was] concerned with their capacity to make sound decisions.” Best’s attestations were false because he knew since at least October 2014 that Customer A could not understand or authorize trades for her account due to her diminished capacity.

12/13/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Jonathan E. Best CRD No. 2225091, Respondent. Disciplinary Proceeding No. 2020068641501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Between December 2017 and December 2019, while he was associated with Raymond James Financial Services, Inc. (CRD No. 6694), Respondent Jonathan E. Best violatedFINRA Rule 2010 by effecting 71 unauthorized trades in the account of a senior customer with diminished capacity (Customer A). 2. In addition, Best violated FINRA Rule 2010 by submitting two false compliance attestations to Raymond James. In January 2018 and January 2019, Best falsely attested “no” to the firm’s question asking if he had “any senior investors or other vulnerable adults for which [he was] concerned with their capacity to make sound decisions.”

Reference 2020068641501data-portal.finra.orgfinra.orgdata-portal.finra.org