Category Archives: J.P. Morgan Securities

Richard V. Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY

March 2018- Wappingers Falls, NY

The FINRA records of Richard V. Minichino , a stockbroker who is not currently registered with any firm and who was last employed  by NEXT Financial Group , disclose  a recent termination from employment and several currently outstanding judgement/liens.

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.

Minichino was employed by NEXT Financial Group  from 2/2016-2/2018, when he was discharged by NEXT Financial who made the following allegation on Minichino’s‘ FINRA record: “discharged after an internal review involving trading in a customer’s accounts that appeared to be unsuitable” 

Minichino’s  prior employment includes: Wunderlich Securities, J.P. Morgan Securities and Chase Investment Services. 

Brokers have a duty to make investment recommendations that are suitable taking into account the age, health, financial sophistication and risk tolerance of the individual.

If you have questions about an account handled by RIchard Minichino 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.

Nationwide Representation

Rex Securities Law

National Toll Free: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator

August 2016-New Braunfels, Texas

The FINRA records of  James E. Mahan,  a  former stockbroker who most recently worked for Raymond James Financial Services  disclose a recent regulatory matter resulting in his permanent bar from the industry.

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 August 2016, Mahan, without admitting or denying the findings, consented to a permanent bar from the securities industry and entry of findings that he refused to appear for on the record testimony requested by FINRA related to an internal review for recommending an unapproved outside investment to a client of the firm. FINRA Case 2015047115101.

Mahan was registered with Raymond James Financial Services from 5/2015-7/2016. Prior to that he was registered with J.P Morgan , Merrill Lynch and Chase Investments Services. Mahan was also affiliated with South Texas Capital Advisors. 

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Marco Mendoza- San Antonio Broker (J.P. Morgan) Barred From Securities Industry

January 11, 2016- San Antonio, Texas

Marco A. Mendoza , formerly a broker with J.P. Morgan Securities was permanently barred from the securities industry, for failing to respond to FINRA request for information.  according to FINRA records. Case # 2015044931401.

Mendoza was discharged from J P Morgan in March 2015On the official FINRA report, the company stated that Mendoza used correction fluid on a bank related document completed by a bank customer in violation of company policy.

Mendoza was registered with J.P. Morgan Securities from 10/2012-3/2015. Prior to that he was registered with Chase Investment Services. 

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Former JP Morgan Broker From Huffman Texas Sanctioned by Securities Regulators

August 5,  2015- Huffman, Texas 

Charlotte Ann Guin  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she failed to provide documents and information during the course of a FINRA investigation into allegations that Guin converted the funds of a non-firm customer.

AWC No. 2015045263801

Guin  was  barred from the securities industry.

According to FINRA records, Guin was registered with J.P. Morgan Securities  from 6/2011-4/2014. Prior to that she was registered with Banc One Securities Corp.  from 2/2000-10/2003.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery

March 30, 2015, Grapevine, Texas 

Sam Marshall Stull  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he forged the signatures of customers on firm documents including beneficiary information sheets, investment switch letters and account profile confirmations.

The findings also state that Stull failed to provide documents and information related to an investigation of the forgery.

Stull   was permanently  barred from association with any FINRA member.

FINRA Case # 2014042589601

According to FINRA records, Stull was registered as follows:

  • TD Ameritrade                     9/2014-10/2014
  • J.P. Morgan Securities       8/2013-8/2014
  • TD Ameritrade                      9/2010-7/2013
  • Fidelity Brokerage               11/2007-8/2010

If you suffered losses in an account handled by Stull you may be able to recover damages from his employing firm. Call to discuss your legal options.

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.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870