Jonathan Robert Spielvogel, of Menlo Park, California, a stockbroker registered with JPMorgan Chase, was fired on October 18, 2016, based upon allegations that he improperly guided a customer in the facilitation of an annuity distribution and failed to provide consistent statements to the firm in the course of its internal investigation into his business activities.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Spielvogel has been subject of two customer initiated investment related disputes containing accusations of his misconduct while employed with J.P Morgan Securities, LLC. Specifically, on February 2, 2017, a customer initiated investment related written complaint involving Spielvogel’s conduct was settled for $100,000.00 in damages supported by allegations that Spielvogel made unsuitable investment recommendations to the customer in regard to a variable annuity purchased by the customer.
Subsequently, on June 5, 2017, a customer filed an investment related written complaint regarding Spielvogel’s activities, wherein the customer sought $9,467.00 in damages founded upon allegations that he induced the customer’s variable annuity purchase by making misrepresentations.
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