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J.P. Morgan Securities

Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX

Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX 150 150 ER

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…

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Evan Schottenstein-Former J.P. Morgan Broker-Permanently Barred From FINRA- New York, NY

Evan Schottenstein-Former J.P. Morgan Broker-Permanently Barred From FINRA- New York, NY 150 150 Rex Securities Law

July 2021- New York, NY According to publicly available records Evan Schottenstein (CRD#4929175), a  former stockbroker who last worked for J.P. Morgan Securities (JPMS),  has been permanently barred from FINRA.…

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Forouzan Pooladi-Former JP Morgan Broker-Barred from FINRA-Great Neck, NY

Forouzan Pooladi-Former JP Morgan Broker-Barred from FINRA-Great Neck, NY 150 150 Rex Securities Law

April 2021-Great Neck, NY According to publicly available records, former JP Morgan Securities,  financial advisor Forouzan Pooladi,  has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…

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Jesse McGuire- Former J.P. Morgan Broker-Barred by Securities Regulator- Humble, TX

Jesse McGuire- Former J.P. Morgan Broker-Barred by Securities Regulator- Humble, TX 150 150 Rex Securities Law

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…

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John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA

John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA 150 150 Rex Securities Law

January 2020 – Northridge, CA According to publicly available records John Luis Torres (CRD#6322231) ,  a  former stockbroker discloses a regulatory event resulting in his bar from the industry , 2 pending…

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Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas 150 150 Rex Securities Law

May 2018- Huffman, Texas  According to FINRA records, Charlotte A. Guin,  a  former stockbroker who was last  employed by J.P. Morgan Securities , disclose  a prior regulatory event a termination from employment…

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

Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY 150 150 Rex Securities Law

January 2019- Wappingers Falls, NY The FINRA records of Richard V. Minichino , a former stockbroker who was last employed  by NEXT Financial Group , disclose  that he was barred by securities regulators, a recent…

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James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX

James E. Mahan-Former Raymond James Broker-Sanctioned by Securities Regulator-New Braunfels, TX 150 150 Rex Securities Law

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…

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

Marco Mendoza- San Antonio Broker (J.P. Morgan) Barred From Securities Industry 150 150 Rex Securities Law

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…

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