William Joseph Conn (also known as Bill Conn) of San Francisco California a stockbroker formerly registered with JP Morgan Securities LLC is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer sought $2,000,000.00 in damages founded upon allegations that between 2012 and 2018, Conn effected unauthorized transactions while he was associated with JP Morgan Securities. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-03351 (Sept. 29, 2020). According to the claim, Conn’s unsuitable trading of stock and options caused the customer to experience damages.
Conn has been identified in two additional customer initiated investment related disputes containing accusations of his improper conduct while employed by Salomon Smith Barney. FINRA Public Disclosure shows that Conn is referenced in a customer initiated investment related written complaint where the customer requested $286,251.09 in damages supported by allegations of Conn’s unauthorized transactions involving equities, mutual funds and limited partnerships when he was associated with Salomon Smith Barney.
Another customer initiated investment related FINRA securities arbitration claim concerning Conn’s conduct was settled for $40,000.00 based on accusations that Conn made misrepresentations and traded without their permission resulting in damages on equities and mutual funds. According to the claim, Conn breached a contract and breached a fiduciary duty. The claim also alleges negligence.
Conn was registered as a stockbroker and investment adviser representative of JP Morgan Securities between March 29, 2012 and May 8, 2018. He has been registered with Raymond James Associates Inc. as a stockbroker and investment adviser representative since May 3, 2018.
