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.

Between January 6, 2021, and January 5, 2023, King exercised discretion when he placed 204 trades without prior written authorization in the accounts of four customers. As a result, King violated FINRA Rules 3260(b) and 2010 and is suspended for 30 calendar days and fined $5,000.

Jerke refused to provide documents and information as requested by FINRA pursuant to FINRA Rule 8210. As a result, Jerke violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.