Articles Tagged with J.p. Morgan Securities LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Kemery (Kemery), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kemery recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $8,400.00 on December 22, 2021.

The client alleges an unauthorized trade was placed to fulfill his RMD.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tom Wallack (Wallack), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wallack recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 17, 2021.

Time Frame: June 14, 2019 to December 15, 2021\, The client’s son in law who has authorization alleges the fee structure was not suitable for an 84 years old, whose husband is recently deceased and has approximately less than $2 million in fixed income.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mario Renteria, (Renteria,), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Renteria, recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,000.00 on February 01, 2022.

The client alleges the financial advisor failed to follow instructions and her account lost value.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Biedron (Biedron), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Biedron recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 31, 2022.

The client alleged the advisor made a blatant mistake that caused a financial loss. The activity occurred on January 31, 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cosmin Cotet (Cotet), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cotet recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 13, 2022.

The customer alleges unauthorized trading on November 8, 2021, which had unknown tax consequences.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Samuel Post (Post), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Post recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $10,000.00 on February 16, 2022.

Customer alleges unauthorized trading in managed account. Activity dates 2/4/22 – 2/8/22.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darren Graff (Graff), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Graff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 24, 2022.

Claimant, a former client and former advisor, alleges unauthorized transactions in one security and commissions owed per agreement. Activity dates 2/16 – 3-21.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Mccluskey (Mccluskey), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccluskey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $37,000.00 on February 28, 2022.

Customer alleges unsuitable mutual fund investment. Activity dates 02.28.22 – 03.25.22.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Pluta (Pluta), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pluta recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,000,000.00 on March 14, 2022.

Claimants allege unsuitable investment strategy. Activity dates 6/20 – present.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alejandro Rodriguez (Rodriguez), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 21, 2022.

Claimant alleges misrepresentation and suitability regarding offshore annuity investment. Activity dates 08.08.07 – 05.05.17.

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New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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