Tag Archives: JPMorgan Chase

JP Morgan Fires Broker For Unsuitable Recommendations

September 15, 2017  |   Posted by :   |   Variable Annuites   |   0 Comments

Jonathan Robert Spielvogel, of Menlo Park, California, a stockbroker registered with JPMorgan Chase, was fired on October 18, 2016, based upon allegations that he improperly guided a customer in the facilitation of an annuity distribution and failed to provide consistent statements to the firm in the course of its internal investigation into his business activities. […]

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JPMorgan Chase Broker Barred for Stealing Customer Funds

Louis James Deeley, a registered representative with JPMorgan Chase Bank, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that Deeley converted $24,014 from a firm customer’s bank account for his own use and benefit. Letter of Acceptance, Waiver, and Consent No. 20140437239 […]

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