Landolt Securities

Broker Joseph Ondris in Landolt Securities, Inc. Firm Has Customer Complaint

March 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Ondris (Ondris), currently associated with Landolt Securities, Inc., has at least one disclosable event. These events include one tax lien, alleging that Ondris recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 27, 2025.

Without admitting or denying the findings, Ondris consented to the sanctions and to the entry of findings that he caused his member firm to maintain incomplete books and records by using an unauthorized personal email account to send and receive securities-related business communications to firm customers without providing copies of the emails to the firm and thereby preventing it from preserving the emails as required. The findings stated that Ondris signed firm compliance attestations stating that he used only his assigned firm email address for securities business communications with firm customers.

Broker Ting Chen in Landolt Securities, Inc. Firm Has Customer Complaint

February 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ting Chen (Chen), currently associated with Landolt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Chen recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on December 18, 2024.

Almost 3 years following GWG Holdings Inc. filing for Chapter 11 bankruptcy protection, the customer is now alleging that his L bond purchase from November 2020 was unsuitable

There are Recent Customer Complaints with Broker Anthony Cottone in Firm Landolt Securities, Inc.

February 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Cottone (Cottone), previously associated with Landolt Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Cottone recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on December 23, 2024.

Unsuitability, failure to supervise

Broker Joseph Ondris in Landolt Securities, Inc. Firm Has Customer Complaint

February 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Ondris (Ondris), currently associated with Landolt Securities, Inc., has at least one disclosable event. These events include one tax lien, alleging that Ondris recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 27, 2025.

Without admitting or denying the findings, Ondris consented to the sanctions and to the entry of findings that he caused his member firm to maintain incomplete books and records by using an unauthorized personal email account to send and receive securities-related business communications to firm customers without providing copies of the emails to the firm and thereby preventing it from preserving the emails as required. The findings stated that Ondris signed firm compliance attestations stating that he used only his assigned firm email address for securities business communications with firm customers.

Broker Frank Bodi in Landolt Securities, Inc. Firm Has Customer Complaint

February 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Bodi (Bodi), previously associated with Landolt Securities, Inc., has at least one disclosable event. These events include one tax lien, alleging that Bodi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on January 30, 2025.

Without admitting or denying the findings, Bodi consented to the sanctions and to the entry of findings that he exercised discretion without prior written authorization in connection with transactions in the accounts of customers of his member firm. The finding stated that Bodi previously discussed the trades with the customers, but he did not speak to the customers to obtain authorization for the trades on the specific days he executed them. None of the customers provided prior written authorization for Bodi to exercise discretion in their accounts, and the firm did not accept the accounts as discretionary.