Jonathan Adam Stuffer (also known as Jon Stuffer) of Staten Island, New York, a stockbroker formerly registered with JP Morgan Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to comply with FINRA during the time that it investigated his potential outside business activities while registered with JP Morgan Securities. Letter of Acceptance, Waiver, and Consent No. 2021070686301 (April 12, 2022).
According to the AWC, FINRA learned from JP Morgan Securities that it terminated Stuffer’s registration as a stockbroker on March 8, 2021. The securities broker-dealer alleged that Stuffer took part in an undisclosed outside business activity.
The regulator reached out to Stuffer on February 1, 2022, to investigate Stuffer’s reasons for termination from his employer. Stuffer emailed FINRA on February 25, 2022, relaying that he received the request to testify in the investigation. He then refused to testify in the investigation at any point.
Stuffer violated FINRA Rules 2010 and 8210, according to the AWC.
Stuffer was associated with JP Morgan Securities between January 1, 2019, and March 12, 2021.
