Tag Archives: J.P. Morgan Securities

Investors Accuse JP Morgan Securities Of Unsuitable Recommendations

March 26, 2020  |   Posted by :   |   Mutual Fund Fraud, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Investors Accuse JP Morgan Securities Of Unsuitable Recommendations

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 […]

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J.P Morgan Broker Caught Mismarking Trades Unsolicited

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 […]

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JP Morgan Broker Barred By FINRA For Failure To Respond

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). […]

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JP Morgan Accused Of Making Unsuitable Recommendations

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 […]

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JP Morgan Securities Stockbroker Suspended For Selling Away

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 […]

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J.P. Morgan Broker Barred Amid Forgery Allegations

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 […]

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J.P. Morgan Securities Representative Alleged to Have Stolen Funds

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, […]

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