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 Dan Csuma (Csuma), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Csuma 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 $28,369.00  on March 09, 2020.

Client alleges unauthorized trading regarding managed account investment. Activity dates 02/26/2020-02/26/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cynthia Hwang (Hwang), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hwang 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 $17,378.00  on March 16, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates  03/06/2020-03/06/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aleksander Guriyelov (Guriyelov), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Guriyelov 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 $115,000.00  on March 16, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates 02/21/2020-02/21/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Spencer Gliddon (Gliddon), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gliddon 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 $17,378.00  on March 16, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates  03/06/2020-03/06/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Todd Morgan (Morgan), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Morgan 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 $9,563.00  on March 25, 2020.

Client alleges misrepresentation and suitability regarding mutual fund investment. Activity dates 12/02/2019-01/13/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nancy Cheney (Cheney), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cheney 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 $61,211.00  on March 31, 2020.

Client alleges unauthorized trading regarding mutual fund investment. Activity dates 03/23/2020-03/23/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Walsh (Walsh), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Walsh 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 $17,001.00  on April 01, 2020.

Client alleges unauthorized trading regarding mutual fund investments. Activity dates 03/23/2020-03/23/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Barrett (Barrett), currently associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Barrett 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 $19,587.00  on April 06, 2020.

Client alleges misrepresentation regarding variable annuity investment. Activity dates 02/24/2020- 03/27/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Karn (Karn), previously associated with J.P. Morgan Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Karn 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 $41,761.00  on August 11, 2020.

Client alleges suitability regarding mutual fund investment. Activity dates 02/19/2020-02/19/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hector Vargas Forero (Vargas Forero), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vargas Forero 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 $130,000.00  on May 08, 2026.

Claimant alleges misrepresentation and unsuitable investment recommendation. December 2021 – December 2024.

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New York, NY 10017
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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