2020068641501 Jonathan E. Best CRD 2225091 Order Accepting Offer (2025-1743639603776).pdf

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.

Regulatory Notice 25-03

Summary

In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s assessment is based on its portion of the total par value of municipal securities transactions reported by all FINRA member firms to the MSRB during the previous quarter.

Protecting Yourself from Financial Fraud: Navigating an Evolving Landscape

As we observe National Consumer Protection Week amid a changing financial fraud landscape, the time is ripe to talk about the ways in which investors can protect themselves from scams. On this episode, a member of the FINRA Investor Education Foundation team joins us to talk about how we can all become more informed and vigilant in today's complex financial world.
Subscribe to