Tag Archives: Todd Jones

Regulator Fines JP Morgan Broker For Unauthorized Trading

September 22, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

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 […]

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