Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Ertel (Ertel), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ertel recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $904,214.00 on December 02, 2024.
Customer alleges investment transactions were executed that were not in her best interests. Activity dates 2/1/22 – 9/20/23.