Tag Archives: Steve Woo

JP Morgan Securities Fires Broker For Authorized Trading

July 29, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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