Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dale Self (Self), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one regulatory event, alleging that Self recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on July 30, 2024.
Without admitting or denying the findings, Self consented to the sanctions and to the entry of findings that in anticipation of joining an investment advisory firm he improperly removed and retained customer nonpublic personal information without his member firm’s or the customers’ consent and in contravention of the firm’s procedures. The findings stated that Self disclosed the information to the investment advisory firm he moved to and the information was used to populate new account forms and customer relationship software at the investment advisory firm. Self returned the information at his former firm’s request.