Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Hann (Hann), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 12, 2021.
Client alleges his stock transfer was initiated on the wrong day which caused him to lose his pending dividend payment. The activity occurred between November 17, 2020 and December 3, 2020.