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Category: JP Morgan Securities

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J.P. Morgan Terminated Robert A. Douglass for Alleged Unauthorized Trading

Robert A. Douglass (CRD#: 4262487) is a dually registered Broker and Investment Advisor at Arkadios Capital in Atlanta, GA. Broker’s Background He entered the securities industry in 2000 and previously worked for J.P. Morgan Securities, LLC; Credit Suisse Securities (USA); and Goldman, Sachs & Co. Current And Past Allegations Of Conduct Leading To Investment Loss […]

Complaint Alleges Unsuitability and Discretion without Authorization Against Former J.P. Morgan Securities Financial Advisor Steven Foote

Steven Foote (CRD#: 1158497) is a previously registered Broker and Investment Advisor. He entered the securities industry in 1983 and previously worked for J.P. Morgan Securities, LLC; Morgan Stanley; Ingalls & Snyder, LLC; Gruntal & Co., Inc.; Mabon, Nugent & Co.; and Carr Securities Corporation. According to publicly available records released by the Financial Industry […]

Former J.P. Morgan Securities Investment Advisor Jasmit Singh Suspended for Selling Away

Jasmit Singh (CRD#: 6483304), an Investment Advisor previously associated with J.P. Morgan Securities, LLC, entered the securities industry in 2017. He ended his employment with J.P. Morgan Securities, LLC on February 18, 2020. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in January 2020, FINRA suspended Jasmit Singh for a […]

Former J.P. Morgan Securities LLC Financial Advisor, Paul Zakhary, Suspended and Fined By FINRA Over Suitability Rule Violations

Paul Zakhary (CRD No. 6399894) was a general securities representative at J.P. Morgan Securities, LLC from 2017 until his separation on September 4, 2019. The member firm reported the separation to the Financial Industry Regulatory Authority (FINRA) based on Paul Zakhary’s “violating the Firm’s switch policy related to annuity surrenders and managed brokerage transactions.” According […]

Former JP Morgan Broker, Eric Silvestre, Has Pending Customer Complaint For Unauthorized Trading, Alleging Damages Of $2 Million

Eric Silvestre (CRD #3171573) was a former Financial Advisor at JP Morgan in Santa Monica, California. Eric Silvestre currently works for Western International Securities. Eric Silvestre has been in the securities industry since 1999 and previously worked at Washington Mutual Investments. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on […]

Former JP Morgan Securities Broker, Robert Pachciarz, Suspended and Fined By FINRA For Allegedly Engaging In Unapproved Private Securities Transaction

Robert Pachciarz (CRD # 5337955) is a former Financial Advisor at JP Morgan Securities, Inc. in Naperville, IL.  Robert Pachciarz has been in the securities industry since 2007 and previously worked at Chase Investment Services Corp.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in September 2019, FINRA suspended and […]

Former JP Morgan Financial Advisor, Daniel Soliman, Barred By FINRA For Failing To Participate In Investigation Of Trading Activity In Customer Accounts

Daniel Soliman was a Financial Advisor at JP Morgan Securities in New York.  Daniel Soliman has been in the securities industry since 2012 and previously worked at Traderfield Securities and Legend Securities.  Daniel Soliman also worked for three brokerage firms that have been expelled from the securities industry by FINRA. According to publicly available records […]

JP Morgan Securities Financial Advisor Jeffrey Mcaleney Has Ten Customer Complaints

The Wolper Law Firm is currently investigating claims against Jeffrey Mcaleney, a Financial Advisor at JP Morgan Securities in Morristown, New Jersey.  Jeffrey Mcaleney has been in the securities industry since 1999 and and has worked with JP Morgan since 2005. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), since […]

Leona Lynn Parsons Discharged From JP Morgan Chase Securities And Barred From Associating With Any FINRA Brokerage Firm

The Wolper Law Firm is currently investigating claims against former JP Morgan Chase Securities Financial Advisor, Leona Lynn Parsons, of Imperial Beach, CA.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), effective May 23, 2018, Leona Lynn Parsons was barred from associating with any FINRA member brokerage firm.  Effectively, this […]