Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franz Warren (Warren), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Warren 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 $100,000.00 on December 07, 2023.
Claimant alleges violations with respect to the type of accounts opened, suitability of investment recommendations, and supervision of her accounts and financial advisor. Activity dates 12/3/21 – 11/6/23.