Nedjeen Baptiste of Lantana Florida 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 based on findings that she failed to follow FINRA’s instructions during the period that she was under investigation for possibly violating FINRA rules on outside business activities. Letter of Acceptance Waiver and Consent No. 2020067705901 (Mar. 9, 2021).

According to the AWC, FINRA received notice that Baptiste had been terminated from JP Morgan Securities on July 14, 2020. The regulator also received word from JP Morgan on August 24, 2020 that she was internally reviewed concerning unauthorized outside business activities.

On February 4, 2021, Baptiste was asked by FINRA to hand over information and documents so that it could determine if she took part in unauthorized activities as referenced by JP Morgan Securities. The regulator received a February 18, 2021 email from Baptiste’s attorney relaying that the stockbroker received the request for her information and documents. Baptiste’s attorney told FINRA that there would be nothing provided by Baptiste at any point in FINRA’s investigation. The stockbroker’s obstruction of FINRA’s investigation constituted the violation of FINRA Rules 2010 and 8210.

Baptiste was registered with JP Morgan Securities between May 4, 2015 and July 14, 2020.

Tags: ,

Comments are closed.