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Recent Posts in JP Morgan Category

37 results found. Viewing page 1 of 2. Go to page 1 2   Next

Sarah Banon Barred for Failing to Cooperate with Investigation

Broker Sarah Leanne Banon, formerly with JP Morgan Securities in Pacific Grove, California, refused to appear for on-the-record testimony with FINRA in connection into allegations that she ...
Continue reading "Sarah Banon Barred for Failing to Cooperate with Investigation" »

Nicholas Maddox Barred for Failing to Answer FINRA Questions

FINRA barred former TCFG Wealth Management (Laguna Niguel, CA) and US Bancorp Investments (Santa Fe Springs/Cerritos) representative Nicholas Brent Maddox for failing to answer investigator's ...
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Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity

FINRA fined and suspended former JP Morgan (Culver City and Santa Monica, CA branches) broker Hector Villalta for engaging in an outside business activity without prior written notice to or approval ...
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Joshua R. Jones fomerly of JP Morgan Sanctioned for Check Kiting

FINRA fined and suspended Joshua Robert Jones, formerly of JP Morgan Securities' Santa Monica branch, for transferring funds from an outside account to his personal bank account and onto a check ...
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Uncooperative Juergen Weber (Unsuitable, Unauthorized Trades) and Benjamin S. Johnson (Failure to Report Liens) Barred

Former Benjamin & Jerold Brokerage representative Juergen received a permanent bar from the securities industry after failing to cooperate with a FINRA investigation into allegations that he made ...
Continue reading "Uncooperative Juergen Weber (Unsuitable, Unauthorized Trades) and Benjamin S. Johnson (Failure to Report Liens) Barred" »

Leona Parsons Barred After Investigation into Improper Withdrawals, Withholding Money from Client

FINRA barred former JP Morgan Securities representative Leona Lynn Parsons of the firm's Imperial Beach, California branch after she refused to cooperate with an industry investigation into the ...
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'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk

Bemoaning the "volatility virus" known as XIV—or Credit Suisse's VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note—the Financial Times shed the spotlight on an ...
Continue reading "'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk" »

Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls

After losing 95% of its value in early February, issuer Credit Suisse announced plans to liquidate VelocityShares Daily Inverse VIX Short-Term Exchange-Traded Note (NASDAQ:XIV), capping off a rough ...
Continue reading "Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls" »

JP Morgan's Farid Morim Barred After Conversion Investigation

FINRA barred Farid Morim, formerly Vice President of JP Morgan's Beverly Hills, California branch, after a lengthy investigation into allegations that Morim converted customer assets and engaged ...
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JP Morgan Fined $2.8 Million for Customer Protection Deficiencies, Flawed Systems, and Supervisory Failures

FINRA fined JP Morgan Securities $2.8 million for multiple rules violations related to the SEC's Customer Protection Rule and related supervisory regulations, writing that the firm's ...
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NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly

The oil-and-gas Master Limited Partnership (MLP) Linn Energy (NASDAQ: LINE) plunged its investors further into financial peril with a 2016 Chapter 11 Bankruptcy filing, while a Bankruptcy Court this ...
Continue reading "Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly" »

FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity

In 2016, FINRA opened an investigation into former JP Morgan (Beverly Hills, CA) Vice President Farid Morim's alleged conversion of customer assets and alleged engagement in undisclosed outside ...
Continue reading "FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity" »

Ex-JP Morgan Securities Rep Todd Jason Jones Sanctioned for Unauthorized Trading in Complex ETN

FINRA suspended former JP Morgan Securities broker Todd Jason Jones and fined him $15,000 for exercising discretion in customer accounts without authorization to purchase over $200,000-worth of ...
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Michael Mahabir Barred After Conversion Investigation

FINRA barred former JP Morgan Securities LLC (Monrovia, CA) broker Michael Anthony Mahabir after investigating allegations that he converted funds from a bank customer. AWC #2017052878801 According to ...
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After Separation from JP Morgan, Robert Stewart Says He Just Followed Firm's Longstanding Practice

FINRA fined and suspended broker Robert Scott Stewart, formerly of JP Morgan Securities' Chino Valley, Arizona branch, for obtaining customer signatures on otherwise blank forms, and attaching ...
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Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses

The once-boisterous oil and gas sector has dramatically cooled, translating into multi-million dollar losses for investors improperly sold these risky products and leaving a flurry of frozen calls ...
Continue reading "Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses" »

James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment

FINRA barred former JP Morgan Securities and Raymond James Financial Services broker James Earl Mahan III for failing to cooperate with an investigation into his recommendation of an unapproved ...
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William Brown Fined & Suspended for Improper Discretionary Trading Without Authorization

FINRA suspended and fined William Walton Brown of Encino, California $10,000, plus restitution for executing discretion in a customer's account without prior written authorization and without firm ...
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Charged with Fraud, Ex-JPMorgan's Michael Oppenheim Sentenced to Five Years for Stealing $20 Million from Clients

Former JPMorgan Chase & Co. broker Michael Oppenheim, charged with multiple counts of fraud over allegations that he stole $20 million from customers—and schemed to cover it up—reached ...
Continue reading "Charged with Fraud, Ex-JPMorgan's Michael Oppenheim Sentenced to Five Years for Stealing $20 Million from Clients" »

Sales Practices Related to Credit Suisse, Velocity Shares, JPMorgan Notes, and Other Structured Products Remain Area of Concern

As sales of high yield and highly speculative products continue to increase, it is important for brokers to remember FINRA's rules for proper sales practices concerning suitability, factual ...
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J.P. Morgan Ordered to Pay Over $300 Million for Conflict of Interest Disclosure Failures

J.P. Morgan Securities and JPMorgan Chase Bank agreed to jointly pay over $300 million to settle SEC and US Commodity Futures Trading Commission charges that the two J.P. Morgan wealth management ...
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Heidi Diana Carter Barred After Investigation into Alleged Theft from Customer

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 ...
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Former JP Morgan Chase Banker Daniel Colon Barred for Taking Money from Customer

Upon finding that Daniel Ricardo Colon removed cash from a customer's wallet, JP Morgan Chase discharged the personal banker, purportedly drawing an admission out of Colon while investigating the ...
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JP Morgan Chase, Citigroup, Barclays, RBS, UBS Admit to Criminal Conduct, Fined $6 Billion; JPMorgan Issues Disclosure Notice

JPMorgan Chase & Co., Citigroup Inc., Barclays Plc and Royal Bank of Scotland Plc (RBS), admitted to guilt in a criminal antitrust charge related to the spot foreign exchange (FX or FOREX) ...
Continue reading "JP Morgan Chase, Citigroup, Barclays, RBS, UBS Admit to Criminal Conduct, Fined $6 Billion; JPMorgan Issues Disclosure Notice" »
37 results found. Viewing page 1 of 2. Go to page 1 2   Next
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