April 2020- Houston, TX
The FINRA records of Jesse O. McGuire, a broker previously employed by J.P. Morgan Chase Bank, disclose a regulatory event resulting in his bar from the securities industry 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 September 2019, McGuire was permanently barred from the securities industry by the Securities and Exchange Commission after allegations that he refused to appear for on-the-record testimony as requested by FINRA .
McGuire was employed with J.P. Morgan Chase Bank from April of 2010 to June of 2019 when he was discharged for failure to respond timely to firm inquiries regarding potential reportable events including the status of his Texas Insurance License, in violation of firm policy.
If you have problems in an account handled by Jesse McGuire call for a no charge consultation .
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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