Adrian R. London Investigation June 2023-Atlanta GA According to publicly available records Adrian R. London a former broker who last worked for J.P. Morgan Securities, discloses a final regulatory matter resulting…
read moreAlexandra Smith Investigation June 2023-St. Petersburg, FL The FINRA records of Alexandra Smith , a former stock broker who was last employed in the industry by J.P. Morgan Securities , disclose 2…
read moreMonica 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…
read moreCrystal Turk Investigation February 2023 – Dallas, TX According to publicly attained records, Crystal Turk, a stockbroker who was last employed by JP Morgan Securities , discloses a 2 month regulatory…
read moreEdward Turley Investigation March 2023– San Francisco, CA According to publicly available records, Edward L. Turley, a broker previously with JP Morgan in San Francisco, CA, discloses 8 prior customer complaints, 2 pending…
read moreJ.P. Morgan Investigation August 2022 FINRA recently fined J.P. Morgan $200,000 for failing to supervise one of their brokers who severely mismanaged and abused the account of a 90 year…
read moreFrank Mathis Investigation June 2022-Westlake , TX According to publicly available records Frank Mathis, a former broker who last worked for Fidelity Brokerage Services, discloses a final regulatory matter resulting in…
read moreRyan Gonzales Investigation May 2022-Westminster, CO The FINRA records of Ryan Gonzales, a broker who was previously with JP Morgan Securities discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA)…
read moreDerek Johnson Investigation May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P. Morgan broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…
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