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 James Salter (Salter), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salter 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 $2,126,000.00 on December 14, 2020.

Claimant has alleged unauthorized trading by accepting trade instructions from one account Trustee. Activity date 03/16/2020.

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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 pending customer complaint with a damage request of $13,530.00 on December 17, 2025.

Customer alleges unsuitable investment recommendation. Activity dates  11/12/2025 – 12/17/2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Stocksick (Stocksick), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stocksick 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 $100,000.00 on February 17, 2021.

Allegations include that in 2015 the financial professional recommended high-commission, complex, risky alternative investments and illiquid investment products.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Perrette (Perrette), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Perrette 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 $1,770,000.00 on March 03, 2021.

Client alleges Registered Representative failed to follow instructions regarding equity listed investment. Activity date 01/10/2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tigran Areshian (Areshian), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Areshian 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 April 03, 2021.

Customer alleges suitability regarding managed account investment. Activity Dates 1.31.21-1.31.21

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ernest Green (Green), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Green 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 $500,000.00 on April 26, 2021.

Customer alleges suitability and misrepresentation in the recommendation of an Offshore Variable Annuity with activity date of 1/29/2004.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Kim (Kim), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kim 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 $43,000.00 on May 07, 2021.

Client alleges poor recommendation/poor advice regarding the sale of managed account resulting in a tax liability. Activity Dates: 11/05/2020 through 11/05/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Trevor Rahn (Rahn), previously associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Rahn 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 $1,000,000.00 on May 19, 2021.

Customer alleges representative engaged in a pattern of unsuitable, unauthorized trading in order to generate commissions, resulting in losses to the customer. Activity dates:  May 2015 – September 2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Diamond (Diamond), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Diamond 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 $185,549.38 on June 02, 2021.

Claimant, as representative, alleges unsuitable mutual fund recommendations. Activity Dates: 1/12/2018 – 2/8/2018.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Simpson (Simpson), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simpson 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 $130,000.00 on July 01, 2021.

Clients alleges that alternative investments were misrepresented.

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295 Madison Ave #705
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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