Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Chase (Chase), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chase 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 $500,000.00 on October 18, 2021.
Claimant alleges the Registered Rep conspired with a third party to change the TOD beneficiary, allowing the third party access to funds. Activity date on or prior to February 10, 2020.