Samuel Nicholas Heavrin of Denver, Colorado, a stockbroker registered with J.P. Morgan Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Heavrin failed to respond to FINRA’s request for information in connection with its investigation of whether he engaged in unapproved outside business activities. Case No. 2022073912001 (December 27, 2022).
A Notice of Suspension was issued to Heavrin on September 21, 2022, and a Suspension from Association letter was issued to him on October 17, 2022. The regulator allowed Heavrin three months from the Notice of Suspension date to cure the suspension; however, Heavrin failed to comply by the deadline or otherwise ask that his suspension be terminated. FINRA automatically barred him on December 27, 2022.
Heavrin was associated with J.P. Morgan Securities LLC in Denver, Colorado, as a stockbroker from September of 2018 to January of 2022. FINRA Public Disclosure shows that Heavrin was permitted to resign by J.P. Morgan Securities LLC on December 10, 2021, based upon allegations that Heavrin engaged in unapproved outside business activities.
