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…
read moreJuly 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.…
read moreApril 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…
read moreApril 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…
read moreJanuary 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…
read moreMay 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…
read moreRichard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY
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…
read moreAugust 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…
read moreJanuary 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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