Josiah D. Jennings

The Schwartz Law Firm is reviewing the FINRA action against Josiah D. Jennings (CRD #6031164) of Aspen, Colorado.

On August 11, 2026, FINRA issued a Letter of Acceptance, Waiver and Consent. Without admitting or denying the findings, Jennings consented to a deferred $10,000 fine and a 10-month suspension from association with any FINRA member, in effect from August 11, 2026, through June 10, 2027.

FINRA's findings state that Jennings participated in private securities transactions without giving his member firm prior written notice, a practice often called selling away. The offering involved promissory notes sold by a private equity fund. Jennings consulted with counsel, helped draft the offering documents, selected the investors the fund would solicit, took part in initial outreach meetings with them, and signed the promissory notes on the fund's behalf. The offering raised at least $8,000,000 from accredited investors, nearly all of whom were customers of his firm. FINRA reports that Jennings did not earn commissions on the offering.

FINRA Case #2024083338801.

Source: FINRA, Disciplinary and Other FINRA Actions, October 2026, pages 5–6.

If you have suffered losses as a result of Josiah D. Jennings's act and/or actions, we would like to hear from you. We are currently investigating claims on behalf of clients who have suffered significant losses in their portfolios that are managed by Josiah D. Jennings. The Schwartz Law Firm represents investors in claims against financial advisors and their firms. If you have questions about your potential claim or need assistance from an investment fraud lawyer, please contact us at 866-330-6707 or email Matthew Schwartz directly at mschwartz@tslfirm.com.