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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Tag Archives: JPMorgan Chase
JPMorgan Chase Broker Barred for Stealing Customer Funds
September 30, 2015 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments
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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