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JP Morgan

February 24, 2023 Beverly Hills Broker Antoine Souma Barred After Failing to Cooperate with FINRA Investigation
December 30, 2021 Fraudulent Offerings, Unsuitable Recommendations Linked to Northstar Financial Service (Bermuda)
November 03, 2021 Investors Who Lost Money in Northstar Financial Services (Bermuda) & Beechwood Bermuda May Be Entitled to Damages From Firms That Sold Notes & Annuities
April 22, 2019 Sarah Banon Barred for Failing to Cooperate with Investigation
January 18, 2019 Nicholas Maddox Barred for Failing to Answer FINRA Questions
November 27, 2018 Terminated JP Morgan Broker Hector Villalta Sanctioned for Unapproved Outside Business Activity
October 17, 2018 Joshua R. Jones fomerly of JP Morgan Sanctioned for Check Kiting
September 17, 2018 Uncooperative Juergen Weber (Unsuitable, Unauthorized Trades) and Benjamin S. Johnson (Failure to Report Liens) Barred
November 22, 2022 Edward Turley Barred After Settling Suitability and Fraud Claims Worth $47 Million
November 23, 2021 JP Morgan Advisors' Antoine Souma Suspended for Incorrect and Misleading Reports to Customer
March 23, 2021 JP Morgan Broker Trevor Rahn Disciplined for Unauthorized Trading, Improper Discretion, and Mismarking Solicited Orders
September 16, 2020 JP Morgan's Lauren Wing Cited for $314,000 of Unauthorized Trading in Senior's Account
July 11, 2020 JP Morgan's Adrienne Mak Barred Over Claims She Used Personal Email, Cell Phone to Communicate With Customers
April 09, 2020 JP Morgan's Steven Lu Barred for Pretending to Befriend, Taking Advantage of Elderly Alzheimer's Client
October 24, 2019 JP Morgan Fined $1.1 Million for Failing to Tell FINRA About 89 Broker Misconduct Allegations
September 17, 2019 JP Morgan Fined $1.1 Million for Failing to Timely Disclose Broker Misconduct, Harming FINRA & The Public
June 01, 2018 Leona Parsons Barred After Investigation into Improper Withdrawals, Withholding Money from Client
May 11, 2018 'Volatility Virus' XIV Devastated Wall Street and Ravaged Private Investors as Uninformed Brokers Took on Too Much Risk
February 08, 2018 Suitability and Firms' Duty to Disclose Comes into Focus as VelocityShares Daily Inverse VIX Exchange Traded Notes (XIV) Falls
January 30, 2018 JP Morgan's Farid Morim Barred After Conversion Investigation
January 04, 2018 JP Morgan Fined $2.8 Million for Customer Protection Deficiencies, Flawed Systems, and Supervisory Failures
December 27, 2017 NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats
November 21, 2017 Linn Energy MLP (NASDAQ Symbol: LINE) Was Risky and Costly
November 20, 2017 FINRA Files Complaint Against Farid Morim from its 2016 Investigation into Alleged Conversion and Undisclosed Business Activity
September 15, 2017 Ex-JP Morgan Securities Rep Todd Jason Jones Sanctioned for Unauthorized Trading in Complex ETN
May 30, 2017 Michael Mahabir Barred After Conversion Investigation
February 06, 2017 After Separation from JP Morgan, Robert Stewart Says He Just Followed Firm's Longstanding Practice
November 01, 2016 Unsuitable and Risky Oil and Gas Sales and Plummeting Energy Investments Cost Elderly Clients Millions of Dollars in Losses
July 28, 2016 James Earl Mahan Barred after Failing to Cooperate with Investigation into Unapproved Investment
March 11, 2016 William Brown Fined & Suspended for Improper Discretionary Trading Without Authorization
March 09, 2016 Charged with Fraud, Ex-JPMorgan's Michael Oppenheim Sentenced to Five Years for Stealing $20 Million from Clients
January 27, 2016 Sales Practices Related to Credit Suisse, Velocity Shares, JPMorgan Notes, and Other Structured Products Remain Area of Concern
December 19, 2015 J.P. Morgan Ordered to Pay Over $300 Million for Conflict of Interest Disclosure Failures
September 25, 2015 Heidi Diana Carter Barred After Investigation into Alleged Theft from Customer
July 14, 2015 Former JP Morgan Chase Banker Daniel Colon Barred for Taking Money from Customer
May 25, 2015 JP Morgan Chase, Citigroup, Barclays, RBS, UBS Admit to Criminal Conduct, Fined $6 Billion; JPMorgan Issues Disclosure Notice
May 06, 2015 SEC Investigating JPMorgan Over Potentially Improper Proprietary Fund Sales, Fiduciary Standard Violations
April 21, 2015 Former JPMorgan Broker Michael Oppenheim Charged for Stealing $20 Million from Clients
February 06, 2015 FINRA Punishes JP Morgan's Gary R. Dennis for Outside Business Activity, and Shannon S. Hampton for Check Kiting
February 05, 2015 Paul DeFilippis Fined & Suspended for Helping Move Elderly Client's Funds to New Account in DeFilippis' Name
January 06, 2015 JP Morgan Downgrades Falling Caterpillar Stock Over Oil and Gas Exposure
November 15, 2014 OC's Robert Klein, Other Brokers with History of Disciplinary 'Red Flags' Flocking to Hotspots for Misconduct, Elderly Investors
October 10, 2014 Luciano Andres Battioli Barred for Conversion, Forgery and Falsification
May 24, 2014 JP Morgan's Kirk Eric Archibald and Michael Linfeng Zheng Barred for Unauthorized Conversion of Customer Funds
February 14, 2014 Jose Jesus Martinez Jr. Barred for Wrongful Conversion of Elderly Customer Funds
January 28, 2014 JP Morgan's Stephanie Ann Becker Barred for Improper Conversion of Customer Funds
December 03, 2013 Two Ex-JP Morgan Brokers Barred for $300,000 Theft from Elderly Woman with Diminished Mental Capacity
July 05, 2013 Theresa I. Reyes Barred for Engaging a Customer's Business Credit Card Account without Authorization