FINRA barred Heidi Diana Carter, a former broker with JP Morgan Securities' Hollywood branch and employee with JPMorgan Chase Bank in San Diego, for refusing to cooperate with an investigation into allegations that she converted funds from a retail bank customer.
According to the investigation, Carter refused to respond to FINRA's request for documents and information related to the alleged conversion, though she did consent to FINRA's findings.
JPMorgan Chase Bank discharged Carter for allegedly withdrawing funds from a customer's ATM card for personal use, after issuing and performing maintenance on that ATM card.
Carter's BrokerCheck report indicates that prior to her registration at JP Morgan Securities, Carter was associated with Chase Investment Services Corp. of San Diego, CA.
If you have invested with former JP Morgan and Chase Bank associate Heidi Diana Carter of Southern California, or with any broker or financial adviser whose withdrawal or conversion of funds for personal use and without consent has proven harmful to your investments or interests, please call The Law Offices of Jonathan W. Evans & Associates at (800) 699-1881 for an investigation and consultation.
On Thu, Sep 24, 2015 at 10:17 AM, Jonathan W. Evans <dukejwe@aol.com> wrote: