Mehdi Ahmad El Sayed Mohamad, of Astoria, New York, 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 Mohamad refused to provide information and documents requested by FINRA during an investigation into allegations of unauthorized transactions. Letter of Acceptance,…
David Paul Wilson Jr., of Philadelphia, Pennsylvania, a stockbroker registered with J.P. Morgan Securities LLC, was the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $300,000.00 in damages based upon alleged unauthorized trading in stocks during the time that Wilson was associated with J.P….
Stephen R. Mihalek of Mentor, Ohio, a stockbroker registered with J.P. Morgan Securities LLC, was the subject of a customer initiated investment related complaint that was settled on April 25, 2024, for $45,300.49 in damages based upon allegations that Mihalek engaged in unauthorized trading when Mihalek was associated with J.P. Morgan Securities LLC. This is…
John Luis Torres (also known as Juan Luis Torres), of Woodland Hills, California, a stockbroker registered with JP Morgan Securities LLC, was the subject of a customer initiated investment related civil action that was settled for $1,200,000.00 in damages based upon allegations that Torres aided and abetted a $1.85 million theft during the time that…
Jeffry Neal Carel, of Edmond, Oklahoma, a stockbroker formerly registered with J.P. Morgan Securities LLC, is the subject of a customer initiated investment related complaint filed on February 7, 2024, in which the customer requested $40,000.00 in damages based upon allegations that Carel made unsuitable investment recommendations when Carel was associated with J.P. Morgan Securities…
Darren Nickolas Ting, of New York, New York, a stockbroker registered with J.P. Morgan Securities LLC, has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Ting engaged in unauthorized trading and mismarked solicited trades during the time that he was associated…
Nisreen Nina Kallabat Byrne (also known as Nisreen Diazakallabat and Nina Kallabatdaiza), of Bloomfield Hills, Michigan, a stockbroker registered with JP Morgan Securities LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $100,000.00 in damages based upon allegations that Byrne made…
Jason Kemble Adams of Atlanta, Georgia, a stockbroker registered with JP Morgan Securities LLC, has been fined $5,000.00 and suspended for three months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Adams engaged in an undisclosed outside business activity. Letter of Acceptance, Waiver, and Consent No. 2023078823301 (June 20,…
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…
Edward Lawrence Turley (also known as Ed Turley), of San Francisco, California, 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 Turley failed to testify when FINRA investigated the stockbroker for possible violations of FINRA rules. Letter of Acceptance,…
Robert Owen Klein of Newport Beach, California, a stockbroker registered with J.P. Morgan Securities LLC, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $300,000.00 in damages based upon allegations that Klein made unsuitable investment recommendations during the time that Klein was associated with J.P. Morgan Securities LLC….
Todd Kevin Marone of Troy, Michigan, a stockbroker registered with J.P. Morgan Securities LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $53,995.91 in damages based upon allegations that Marone made misrepresentations of material fact in connection with the recommendation and sale of variable annuities…
Avi Elliot Schottenstein of New York, New York, a stockbroker registered with J.P. Morgan Securities LLC, has entered in a Consent Order with the State of Illinois agreeing to be permanently barred registration in the state. In the Matter of Avi Elliot Schottenstein, File No. 2100123 (April 22, 2022). Financial Industry Regulatory Authority (FINRA) Public…
Matthew David Beleski of Ann Arbor, Michigan, a stockbroker currently registered with J.P. Morgan Securities LLC, is the subject of a customer initiated investment related complaint on August 24, 2021, in which the customer requested $91,533.00 in damages based upon allegations that Beleski made unsuitable transactions and misrepresentations in connection with the recommendation and sale…
Edward Lawrence Turley (also known as Ed Turley) of San Francisco, California, a stockbroker formerly registered with J.P. Morgan Securities LLC, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $55,615,696.00 in damages based upon allegations that Turley effected unauthorized and unsuitable transactions and made misrepresentations…
Antoine Nabih Souma of Los Angeles, California, a stockbroker formerly registered with JP Morgan Securities LLC and Morgan Stanley, has been fined $20,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Souma provided a customer with misleading and incorrect accounts reports…
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…
Michael Joseph Muratore of Ardsley New York, a stockbroker formerly registered with JP Morgan Securities, has been fined $25,000.00 and suspended for two years from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings of Muratore’s forgery of annuities documents during the time that he was registered with JP…
Boris Mihailevsky of New York New York a stockbroker currently registered with JP Morgan Securities LLC is the subject of a customer initiated investment related written complaint on March 20, 2020, where the customer requested $8,000.00 in damages supported by accusations that misrepresentations were made by Mihailevsky regarding mutual funds during the time that he…
Trevor Bradner Rahn of Los Angeles California a stockbroker formerly registered with JP Morgan Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer sought $1,000,000.00 in damages based on allegations of Rahn’s unsuitable stock trades while he was associated with JP Morgan Securities. Financial Industry Regulatory Authority…
William Joseph Conn (also known as Bill Conn) of San Francisco California a stockbroker formerly registered with JP Morgan Securities LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $2,000,000.00 in damages founded upon allegations that between 2012 and 2018, Conn effected unauthorized transactions while…
Jerome Richard Goldstein of New York 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 based on findings that Goldstein failed to cooperate with FINRA’s investigation in which the regulator tried to determine whether Goldstein engaged in…
Rick Douglas Konecny of Chicago Illinois a stockbroker formerly registered with JP Morgan Securities LLC is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $200,000.00 in damages based upon allegations that unsuitable transactions were affected in customer accounts by Konecny when he was associated with JP Morgan Securities….
Timothy Joseph Cunningham of White Plains New York a stockbroker formerly registered with JP Morgan Securities LLC and JP Morgan Chase Bank has been discharged on June 18, 2020 founded on allegations of Cunningham making unauthorized trades in a customer’s account. According to JP Morgan, Cunningham executed the sale of a security from the customer’s…
Evan A. Schottenstein of New York 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 Schottenstein failed to comply with FINRA personnel when he was under investigation for potential trading misconduct. Letter of…
Trevor Bradner Rahn of Los Angeles California a stockbroker formerly registered with JP Morgan Securities LLC has been fined $10,000.00 and suspended for 18 months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Rahn made unsuitable recommendations and unauthorized trades when he was associated with JP…
Jasmit Singh of New York New York a stockbroker formerly registered with JP Morgan Securities LLC has been fined $10,000.00 and suspended for seven months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he engaged in outside business activities and private securities transactions without disclosing this…
Deborah Leah Beal of Downers Grove Illinois a stockbroker formerly registered with JP Morgan Securities LLC has been fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that she engaged in unauthorized transactions in the accounts of JP Morgan Securities customers….
Forouzan Pooladi (also known as Forouzan Sharma) of Great Neck 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 supported by findings that Pooladi refused to cooperate with FINRA personnel when she was investigated for engaging in…
Adrienne Jaime Mak of Hacienda Heights California a stockbroker formerly employed by JP Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on a FINRA Office of Hearing Officers Order Accepting Offer of Settlement based on findings that Mak failed to cooperate with FINRA’s…
Timothy A. Crowley of Chicago Illinois 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 upon accusations that he failed to provide FINRA with information that had been requested of him. Case No. 2018059605401 (Apr. 16, 2020). FINRA…
JP Morgan Securities LLC a securities broker dealer headquartered in New York City New York has been censured and fined $325,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that JP Morgan Securities did not supervise sales of volatility-linked exchange traded products to make sure that stockbrokers and its customers knew about the risks…
Wesley James Evans of Seattle Washington 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 upon consenting to findings that he obstructed a FINRA investigation concerning allegations of his misappropriation of a customer’s funds. Letter of Acceptance Waiver…
Keith Trevor Rich of Marietta Georgia a stockbroker formerly employed by PFS Investments Inc. and JP Morgan Securities LLC has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that Rich engaged in an undisclosed outside business activity while employed by PFS Investments…
David Harry-Nelson Austin of Grand Rapids Michigan a stockbroker formerly registered with JP Morgan Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he converted funds belonging to three customers of JP Morgan. Letter of Acceptance Waiver and Consent No. 2020066576401…
Adrienne Jaime Mak of Hacienda Heights California a stockbroker formerly registered with J.P. Morgan Securities LLC has been charged in a Complaint by Financial Industry Regulatory Authority (FINRA) Department of Enforcement who alleges that Mak failed to cooperate with FINRA’s information and documentation requests during the time that she was under investigation for allegedly violating…
Trevor Bradner Rahn of Los Angeles California a stockbroker formerly employed by J.P. Morgan Securities LLC has been identified in a customer initiated investment related written complaint on April 1, 2020 where the customer sought $125,000.00 in damages founded on accusations that a private securities transaction concerning a private placement was facilitated by Rahn outside…
Steve Jun Lu of Altadena California 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 upon consenting to findings that he lied to the securities broker dealer about his relationships and fiduciary responsibilities with an elderly and disabled…
Eric Daniel Silvestre of Santa Monica California a stockbroker formerly associated with JP Morgan Securities LLC has been referenced in a customer initiated investment related complaint which was settled on December 5, 2019 for $47,217.54 in damages supported by allegations that between March 14, 2018 and June 27, 2019, options transactions were facilitated in the…
Neil Vinod Mehta of Pompano Beach Florida a stockbroker formerly associated with JP Morgan Securities LLC is referenced in a customer initiated investment related arbitration claim which was settled for $40,000.00 in damages based upon accusations that the customer was poorly advised by Mehta regarding mutual funds held in the customer’s account during the period…
Rick Douglas Konecny of Chicago Illinois a stockbroker formerly associated with JP Morgan Securities LLC has been referenced in a customer initiated investment related arbitration claim which was resolved for $30,000.00 in damages supported by allegations of an overconcentration of the customer’s assets in high-risk investments which led the customer to experience losses. Financial Industry…
Barry Steven Synder of Palm Beach Gardens Florida a stockbroker formerly registered with J.P. Morgan Securities LLC is the subject of a customer initiated investment related arbitration claim where the customer sought $500,000.00 in damages supported by accusations that during the period in which Synder was employed by J.P. Morgan Securities (1) unauthorized over-the-counter equities…
Shirley Anne Weston (also known as Shirley Craft and as Shirley Schaeffer) of J.P. Morgan Securities LLC has been fined $7,500.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Weston impermissibly borrowed money from a customer while she was employed with…
Robert Patrick Pachciarz of Naperville Illinois a stockbroker formerly employed by J.P. Morgan Securities LLC has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Pachciarz took part in undisclosed private securities transactions involving the sale of a $500,000.00…
Robert Owen Klein of Newport Beach California a stockbroker formerly employed by J.P. Morgan Securities LLC is referenced in a customer initiated investment related arbitration claim where the customer sought $1,500,000.00 in damages supported by accusations that inappropriate securities transactions were executed in the customer’s managed account while Klein was employed by J.P. Morgan Securities…
Brad William McDowell of Niles Illinois a stockbroker formerly registered with J.P. Morgan Securities LLC is referenced in a customer initiated investment related written complaint which was resolved for $44,098.67 on July 17, 2017 founded on accusations that the customer was placed into an annuity that failed to be suitable for the customer during the…
Jesse Starr of San Diego California a stockbroker formerly employed by J.P. Morgan Securities LLC has been discharged by the firm on December 13, 2018 based upon allegations that Starr informed a customer of the firm that J.P. Morgan Securities LLC was liable to the customer for the failure of required distributions from being executed…
Jacob Glick of Scottsdale Arizona a stockbroker formerly employed by J.P. Morgan Securities LLC and investment adviser representative of Advanced Practice Advisors has been discharged by the advisory on June 12, 2017 based upon allegations that Glick engaged in reckless behavior when determining the suitability of investments for customers of the advisory (2) Glick placed…
Daniel M. Soliman of New York New York a stockbroker formerly employed by J.P. Morgan Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Soliman failed to cooperate with a FINRA investigation into whether FINRA Rules and federal securities laws had been violated…
Michael Jeffrey Oppenheim of New York New York a stockbroker formerly employed by J.P. Morgan Securities LLC has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment advisor or otherwise associating with securities broker dealers or investment advisory firms according to an Order Instituting Administrative Proceedings pursuant to Securities Exchange…
Ernesto David Ramirez of Coral Gables Florida a stockbroker formerly employed by J.P. Morgan Securities LLC has been discharged on April 7, 2017 based upon accusations that (1) Ramirez violated the firm’s policy by mismarking trades in customers account to make them appear as though they were not solicited by customers and (2) Ramirez violated…
Joshua Alexander Stephens-Anselm of Valley Stream New York a stockbroker formerly registered with J.P. Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that Stephens-Anselm declined to respond to FINRA’s request for information possibly relating to Stephens-Anselm being terminated by J.P. Morgan…
Salman Rasheed of Skokie Illinois a broker formerly employed by J.P. Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that Rasheed took advantage of an elderly investor with dementia who provided Rasheed $390,045.00 in gifts while Rasheed was associated with the…
Bradley Scott Cooperman of San Diego California a stockbroker currently registered with J.P. Morgan Securities LLC is referenced in a customer initiated investment related written complaint on July 14, 2016 in which the customer sought $11,060.56 in damages based upon accusations that (1) unauthorized trades were executed in the customer’s managed investment account (2) misrepresentations…
Daniel YJ Kim of Flushing New York a stockbroker currently employed by J.P. Morgan Securities LLC is the subject of a customer initiated investment related complaint on May 5, 2016 in which the customer requested $50,000.00 in damages based upon accusations that unsuitable investment recommendations were made to the customer concerning mutual fund trades executed…
Joseph Leon Bess II of Edmond Oklahoma a stockbroker formerly registered with J.P. Morgan Securities has been fined $5,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that Bess mismarked customer’s order tickets concerning exchange traded fund purchases. Letter of Acceptance Waiver and…
Jerry Michael Rayburn of Lake Grove New York a stockbroker currently registered with J.P. Morgan Securities LLC is the subject of a customer initiated investment related arbitration claim in which the customer sought $74,927.40 in damages founded on accusations that (1) misrepresentations had been made to the customer concerning the customer’s investments in mutual funds…
J.P. Morgan Securities LLC a broker-dealer headquartered in New York New York has been censured and fined by FINRA based upon the firm’s consent to findings that it harmed customers by charging them erroneous fees. Letter of Acceptance Waiver and Consent No. 2017053493101 (Oct. 18, 2018). According to the AWC, in 2012, a vendor was…
Michael Ray Matos of Whippany New Jersey a stockbroker formerly registered with J.P. Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Matos failed to respond to FINRA personnel’s request for information. Case No. 2017056198201 (May 16, 2018). According to FINRA…
Mona Kay Milligan (also known as Mona Kay Darst) of Litchfield Park Arizona a stockbroker formerly registered with J.P. Morgan Securities LLC has been discharged by the firm on December 12, 2017 for engaging in “unauthorized activities” based upon allegations that Milligan procured signed but otherwise blank customer account documents for purposes of effecting investment…
Xavier Patino a stockbroker formerly employed by J.P. Morgan Securities LLC has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he made misleading and false statements to a customer concerning a variable annuity. Letter of Acceptance Waiver…
Helle Romer Bannister of Harrison New York a stockbroker formerly employed by J.P. Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that he failed to provide FINRA with information that was requested of him by the regulator. Case No. 2016052638801 (Oct….
Leona Lynn Parsons of Imperial Beach California a stockbroker formerly employed by J.P. Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she failed to cooperate with FINRA personnel in an investigation into Parsons’ alleged unauthorized withdrawals from a…
Frank Odoi of Dallas Texas a stockbroker employed by J.P. Morgan Securities LLC has been discharged by the firm on March 27, 2018 founded on accusations that Odoi established a customer’s two investment accounts even though Odoi was not authorized to conduct business with the customer because he was not registered in the state at…
David Wayne Woolford of Philadelphia Pennsylvania a stockbroker formerly registered with J.P. Morgan Securities LLC is the subject of a customer initiated investment related written complaint which settled on July 28, 2017 for $9,998.46 in damages based upon allegations that between October 1, 2013 and March 15, 2017, the customer was placed in a common…
Samuel David Campos of Dallas Texas is a stockbroker formerly registered with J.P. Morgan Securities LLC who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that Campos neglected to respond to FINRA personnel’s request for Campos’ information. FINRA Case No. 2016050778401 (Aug. 25, 2016)….
Antoine Nabih Souma of Los Angeles California is a stockbroker formerly registered with JP Morgan Securities LLC who is the subject of a customer initiated investment related arbitration claim in which the customer requested $20,000,000.00 in damages based upon allegations of (1) unauthorized transactions (2) suitability and (3) misrepresentation. Financial Industry Regulatory Authority (FINRA) Arbitration…
Alexi Nahun Bustamante of Miami Lakes Florida is a registered representative formerly employed with J.P. Morgan Securities LLC who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that she failed to comply with FINRA’s request for her information. FINRA Case No. 2017052961501 (July 14,…
Peter Robert Green of Berkeley California is a stockbroker currently registered with J.P. Morgan Securities LLC who is the subject of a customer initiated investment related written complaint on December 16 2016 in which the customer sought twenty-six thousand dollars in damages founded on allegations that unsuitable investment recommendations had been made to the customer…
Erick George Revelle Kuebler of Dallas Texas is a stockbroker formerly registered with J.P. Morgan Securities LLC who is the subject of a customer initiated investment related arbitration claim in which the customer requested five hundred thousand dollars in damages supported by allegations that Kuebler effected unsuitable and unauthorized transactions in the customer’s account between…
Pavel Shklyar of Norwood New Jersey is a stockbroker formerly registered with J.P. Morgan Chase Bank who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed FINRA’s investigation into accusations of Shklyar’s private securities transactions. Letter of Acceptance Waiver and…
Farid Morim of Beverly Hills California is a stockbroker formerly registered with J.P. Morgan Securities LLC that has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers Default Decision containing findings that he failed to provide documentation and information to FINRA in…
Vanessa Beth-Anne Reeves-Farry of Oroville California is a stockbroker formerly registered with J.P. Morgan Securities LLC who has been fined five thousand dollars and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that she failed to timely cooperate with FINRA in an…
Ricardo Rodriguez-Stern of New York New York is a former J.P. Morgan Securities LLC stockbroker who has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to an Office of Hearing Officers Default Decision containing findings that Rodriguez-Stern neglected to cooperate in a FINRA investigation into his customer…
Jeffrey Brewer McAleney, of Morristown, New Jersey, a stockbroker currently registered with J.P. Morgan Securities, LLC, is the subject of a customer initiated investment related written complaint on October 13, 2017, where the customer requested $20,271.50 in damages supported by allegations that between 2014 and 2016, McAleney made unsuitable investment recommendations to the customer regarding…
Ricardo Rodriguez-Stern, of New York, New York, a stockbroker formerly registered with JP Morgan Securities LLC, has been charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that he failed to cooperate with FINRA’s investigation into customer disputes that JP Morgan customers filed against him. Department of Enforcement v. Ricardo Rodriguez-Stern, Disciplinary Proceeding…
Deborah Elizabeth Greenlee-Keck, of Mishawaka, Indiana, a stockbroker formerly registered with J.P. Morgan Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on allegations that Greenlee-Keck obstructed a FINRA investigation into allegations of her improper conduct concerning a financial transaction with a customer of the…
Andrew Martz, of Hollywood, California, a stockbroker formerly registered with J.P. Morgan Securities LLC, has been named in a customer initiated investment related arbitration claim, wherein the customer requested $200,000.00 in damages based upon allegations that between January 17, 2014, and March 2, 2017, Martz sold the customer an investment that was not authorized to…
Ryan Nicholas Paugh, of Independence, Ohio, a stockbroker registered with J.P. Morgan Securities LLC, has been fined $10,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on allegations against Paugh of selling away from J.P. Morgan. Letter of Acceptance, Waiver and Consent, No. 2015046604801…
Todd Jones of Seattle, Washington, a stockbroker formerly registered with J.P. Morgan Securities, LLC, has been fined $15,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he exercised discretion in customer accounts without their consent and falsified information regarding…
Steve Woo, of Torrance, California, a stockbroker formerly registered with JP Morgan Securities LLC, has been terminated from employment on January 27, 2016, based upon allegations that he effected trades in customer accounts on an unauthorized basis. The firm particularly alleged that customers never provided Woo with consent for discretion to be exercised by him…
Karl Austin Pettijohn, of Los Angeles, California, a stockbroker registered with J.P. Morgan Securities LLC, has been terminated from employment on April 29, 2016, based upon the firm’s allegations that he inappropriately communicated with customers and entered into unauthorized lending arrangements. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on April 28, 2017, a…
William John McBride Jr., of Los Angeles, California, a stockbroker currently registered with JP Morgan Securities LLC, has been named in a customer initiated investment related written complaint on April 20, 2017, in which the customer requested $7,915.95 in damages based upon allegations that McBride made misrepresentations concerning a variable annuity that the customer purchased….
Daniel Ki Roh, of Fort Lee, New Jersey, a stockbroker currently registered with J.P. Morgan Securities LLC, has been named in a customer initiated investment related written complaint on April 18, 2017, in which the customer requested $7,250.00 in damages based upon allegations that he omitted information from the customer concerning the fees on mutual…
David Eliott Doll, of Los Angeles, California, a stockbroker formerly registered with J.P. Morgan Securities, LLC, has been named in a customer initiated investment related written complaint, which settled on February 8, 2017, for $6,239.65 in damages based upon allegations that he effected equity transactions in the customer’s individual retirement account that were not appropriate…
Warren Marc Rockmacher, of Trumbull, Connecticut, a stockbroker formerly registered with Investacorp, Inc., has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he failed to cooperate in a FINRA investigation by declining to provide FINRA with information requested of him. Case No. 2015044980801…
Michael A. Mahabir, of Monrovia, California, a stockbroker formerly registered with J.P. Morgan Securities LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into allegations that he converted customer funds. Letter of Acceptance,…
Ricardo E. Urrutia, of Bronx, New York, a stockbroker formerly registered with J.P. Morgan Securities LLC, has been named in a customer initiated investment related written complaint on January 15, 2016, in which the customer requested $9,496.04 in damages based upon allegations that Urrutia made misrepresentations to the customer concerning a variable annuity product. Financial…
Pamela Lynn Kourtakis, of Dana Point, California, a stockbroker formerly registered with J.P. Morgan Securities LLC, has been named in a customer initiated investment related written complaint on September 8, 2016, in which the customer requested $5,835.18 in damages based upon allegations that Kourtakis effected the purchase of a variable annuity contract that was not…
Angelina Ozlem Todurge, of Palm Beach, Florida, a stockbroker formerly registered with J.P. Morgan Securities LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that she obstructed a FINRA investigation into allegations that she converted funds. Letter of Acceptance, Waiver and…
Jacob Glick, of Scottsdale, Arizona, a stockbroker formerly registered with J.P. Morgan Securities LLC, has been named in a customer initiated investment related written complaint on February 8, 2016, in which the customer requested $30,000.00 in damages based upon allegations that Glick made misrepresentations to the customer concerning investments in mutual funds. Financial Industry Regulatory…
Rick Douglas Konecny, of Chicago, Illinois, a stockbroker currently registered with J.P. Morgan Securities LLC, has been named in a customer initiated investment related written complaint on June 23, 2016, in which the customer requested $400,000.00 in damages based upon allegations that Konecny effected unauthorized and unsuitable transactions in the customer’s account, and overconcentrated the…
Nathan A. Majors, of South Holland, Illinois, a stockbroker with J.P. Morgan Securities LLC, was fined $5,000.00 and suspended for four months from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in outside business activities which were not permitted by his firm. Letter…
James Earl Mahan, of Braunfels, Texas, a stockbroker with J.P. Morgan Securities LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm after consenting to findings that he obstructed a FINRA investigation into allegations of his unauthorized outside business activities. Letter of Acceptance, Waiver and Consent, No. 2015047115101 (July 25,…
William W. Brown of Beverly Hills, California, a stockbroker with J.P. Morgan Securities LLC, was fined $10,000 and suspended from association with any Financial Industry Regulatory Authority (FINRA) member firm in all capacities for fifteen business days, and ordered to pay a customer restitution in the amount of $1,473.88 pus prejudgment interest after consenting to…
J. P. Morgan Securities LLC is the securities broker-dealer subsidiary of J.P. Morgan, and as a broker-dealer sells securities and investment services through approximately 2,800 financial advisors located in Chase bank branches nationwide. As of the end of last year, J.P. Morgan, the bank, has $2.6 trillion in assets and J.P. Morgan Asset Management also…
David J. Sullivan of Boston, Massachusetts, a registered representative with J.P. Morgan Securities LLC, was fined $5,000 and suspended from association with any Financial Industry Regulatory Authority (FINRA) member in any and all capacities for fifteen days after consenting to findings that he engaged in unauthorized discretionary trading. Letter of Acceptance, Waiver and Consent No….
Salena Lynn Woods of Pearland, Texas, a stockbroker with J.P. Morgan Securities, LLC, was permanently barred from associating with any FINRA member in any capacity after consenting to findings that she failed to comply with a FINRA investigation into allegations that Woods misappropriated funds from a firm customer. Letter of Acceptance, Waiver and Consent, No….
Sam M. Stull, a registered representative for J.P. Morgan Securities LLC, was permanently barred from association with any Financial Industry Regulatory Authority (FINRA) member firm in all capacities after consenting to findings that Stull forged the signatures of several customers and failed to cooperate with FINRA in their investigation into allegations of Stull’s misconduct. Letter…
Daniel R. Colon, a JP Morgan Chase Bank registered representative, was permanently barred from associating with any Financial Industry Regulatory Authority member in any capacity after stealing money from a customer of Chase Bank. Letter of Acceptance, Waiver, and Consent No. 2014043421201 (May 12, 2015). According to the AWC, one of the bank’s customers accidentally…
Charlotte A. Guin of Houston TX, a former general securities representative with J.P. Morgan Securities LLC, was barred from association with any FINRA-registered firm in all capacities after failing to provide information and documentation in connection with FINRA’s investigation into allegations that Guin converted the funds of a non-Firm customer. FINRA Letter of Acceptance, Waiver,…