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Category JP Morgan Securities

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

September 14, 2021

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…

Previously Registered J. P. Morgan Securities Broker/Investment Advisor Trevor Rahn Suspended for Violations Including Unsuitability and Excessive Trading

March 29, 2021

Trevor Rahn (CRD#: 2196155) is a previously registered Broker and a previously registered Investment Advisor at J. P. Morgan Securities, LLC in Los Angeles, CA. He entered the securities industry in 1992 and previously worked for Deutsche Bank Securities, Inc.; Morgan Stanley & Co., Inc.; Morgan Stanley DW, Inc.; and Merrill Lynch, Pierce, Fenner &…

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

February 8, 2021

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

January 8, 2021

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…

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