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J.P. Morgan Securities complaint

Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA

Adrian R. London- Former J.P. Morgan Broker-Barred From Securities Industry by Regulators -Atlanta, GA 150 150 ER

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…

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Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX

Frank Mathis- Former Fidelity Brokerage Services Broker-Barred From Securities Industry by Regulators – Westlake, TX 150 150 ER

Frank 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…

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Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA

Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA 150 150 ER

Derek 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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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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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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Charlotte Guin-Former JP Morgan Securities Broker-Subject of $10M Customer Suit-Huffman, TX

Charlotte Guin-Former JP Morgan Securities Broker-Subject of $10M Customer Suit-Huffman, TX 150 150 Rex Securities Law

May 2018 Update–Charlotte Guin is subject of $10M suit. Follow this for more information.  Original Post-August 5,  2015– Huffman, Texas  Charlotte Ann Guin ,  entered into a Letter of Acceptance Waiver and Consent…

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Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery

Sam Stull-Grapevine Texas StockBroker-Sanctioned for Forgery 150 150 Rex Securities Law

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…

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Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry

Kamran Nougzust -Boynton Beach- Wells Fargo Stock Broker Barred From Industry 150 150 Rex Securities Law

March 5, 2015-Boynton Beach, FL Kamran Daryush Nougzust   entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that  Nougzust failed to provide…

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Former J.P. Morgan Securities Broker Barred from Securities Industry

Former J.P. Morgan Securities Broker Barred from Securities Industry 150 150 Rex Securities Law

February 23, 2015 Alen Alic  entered into a Letter of Acceptance, Waiver and Consent  (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that in September 2014, while working as a teller…

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