Jon Vinge: $373K GWG L Bond Complaint Against Seattle Advisor

A recent investor complaint Intervest International Securities Corporation financial advisor Jon Vinge (CRD# 4445831) alleges he engaged in various forms of misconduct, resulting in six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Seattle, Washington. 

Mr. Vinge’s BrokerCheck report discloses one investor complaint against him. Filed in June 2022, it alleges he breached his fiduciary duty, breached contract, violated FINRA rules, misrepresented and omitted material information, and recommended unsuitable investments in GWG L bonds. (The pending complaint, which names him and one other representative, alleges damages of $373,000.

For reference, FINRA rules require brokers-dealers and their representatives to abide by the suitability standard, which stipulates that they may only recommend their customers invest in products and strategies that are considered appropriate—or suitable—for their individual investment profiles. This profile includes factors like their investment goals, investment experience, financial situation, age, net worth, liquidity needs, and risk tolerance. The suitability standard is distinct from the fiduciary standard followed by investment advisers, which requires that they place the investor’s interests above their own.

According to the Financial Industry Regulatory Authority, Jon Vinge holds 20 years of securities industry experience. Based in Seattle, Washington, he has been a broker and an investment advisor with Intervest International since 2007. His past registrations include Centara Capital Securities (San Diego, California; 2006-2007) and First Command Financial Planning (San Diego, California; 2001-2006). His credentials include the passage of four securities industry qualifying examinations: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He holds 46 state licenses. (Information current as of July 26, 2022.)

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