August 2021- Spring, TX
According to publicly available records, Marisa K. Quintero a currently unregistered financial advisor who was last registered with J.P. Morgan, discloses a prior regulatory event and a termination from employment.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
In December of 2020, Quintero consented to sanctions and to the entry of findings that she converted approximately $10,000 from a customer of a bank affiliated with her member firm by making unauthorized withdrawals from the customer’s bank accounts. The findings stated that Quintero used the funds to pay her personal credit card bills. After the customer discovered the unauthorized withdrawals, Quintero repaid the funds.Quintero was permanently barred from FINRA in all capacities.
In August of 2019, Quintero was discharged from employment with JP Morgan Chase for making unauthorized withdrawals from a customer’s account for personal use. Quintero had been employed by JP Morgan Securities since May of 2014.
If you have losses in an account handled by Marisa Quintero, call to learn how you may be able to recover damages through FINRA arbitration.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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