Joseph Ondris Fined $25,000 by State of New Hampshire

Joseph Ondris (CRD #: 1782322), a broker registered with Titan Securities, allegedly solicited an investor on the Do Not Call list, according to his BrokerCheck record, accessed on March 30, 2023. Keep reading to learn more about his alleged conduct as a broker.

New Hampshire Consent Order

On December 29, 2022, the New Hampshire Bureau of Securities Regulation alleged that, in March 2020, Joseph Ondris solicited a New Hampshire resident who was listed on the Federal Trade Commission’s National Do Not Call Registry and who had not requested a call.

He allegedly sent the resident an email using promissory language with regard to a Regulation D private placement, and several months after being asked to remove the resident from his solicitation list, allegedly mistakenly sent them another email.

Joseph Ondris was allegedly also not registered in New Hampshire.

The Bureau of Securities Regulation ordered Joseph Ondris to cease and desist. Joseph Ondris also consented to a fine of $25,000 and an additional sanction of $15,000.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Florida Regulatory Action

On April 2, 2015, the Florida Office of Financial Regulation alleged that Joseph Ondris made a material false statement on his application for registration. The state denied his application.

Background Information

Joseph Ondris has passed the following exams:

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

Joseph Ondris is a registered broker in 12 states.

He has also worked for the following firms:

• Freedom nvestors (CRD#:23714)
• Merrimac Corporate Securities (CRD#:35463)
• Allen Douglas Securities (CRD#:42410)
• Rushmore Securities Corporation (CRD#:8392)
• Northstar Securities (CRD#:11247)
• Dominion Capital (CRD#:18837)
• Josephthal Lyon & Ross (CRD#:3227)
• Everen Securities (CRD#:19616)
• Bear, Stearns & Company (CRD#:79)
• Dean Witter Reynolds (CRD#:7556)
• Kober Financial Corporation (CRD#:17551)
• J. W. Gant & Associates (CRD#:7963)
• Power Securities (CRD#:15527)
• Dallas/Park Cities Securities (CRD#:17131)
• The Stuart-James Company (CRD#:11691)

Kurta Law Can Help

If you worked with Joseph Ondris 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.