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…

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…

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…

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…

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…

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…

Robert Mario Mennella of New York New York is a stockbroker formerly registered with J.P. Morgan Securities LLC who is the subject of a customer initiated investment related written complaint on April 20, 2016 in which the customer requested more than $5,000.00 in damages founded on allegations that unauthorized equity transactions were effected in the…

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…

May Hongying Miao of Pasadena California is a stockbroker formerly registered with J.P. Morgan Securities LLC who is the subject of a customer initiated investment related complaint on December 9 2016 in which the customer requested more than five thousand dollars in damages supported by accusations that unauthentic signatures of the customer had been utilized…

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…

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…

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…

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…

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…

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….