Monica Laguna Investigation
March 2023-Coppell, TX
According to publicly available records, Monica A. Laguna a former broker who last worked for JP Morgan, discloses a final regulatory matter resulting in a permanent bar from the industry and a termination.
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 8/2022 FINRA permanently barred Laguna from the securities industry in all capacities to resolve allegations that she refused to respond to FINRA requests for information in connection with a regulatory investigation.
In 4/2022, JP Morgan Chase Bank discharged Laguna for violating the firm’s policy governing personal finances by making several cash deposits to her personal affiliate bank account under the Cash Transaction Reporting threshold. Laguna had been with JP Morgan since 9/2012.
If you have questions about an account handled by Monica Laguna contact us for a no charge consultation 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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