Articles Tagged with J.p. Morgan Securities LLC

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The law offices of Gana Weinstein LLP represents investors in investment disputes with their financial advisors or brokerage firms, such as J.P. Morgan Securities LLC. Many investors do not recognize financial advisor misconduct when it happens, but there are steps that can be taken to recover investment losses. There are many different types of broker misconduct, including breach of fiduciary duty, failure to supervise, misrepresentation, and churning. The attorneys at Gana Weinstein LLP can analyze your investments to determine if there was actionable misconduct by the broker or brokerage firm.

J.P. Morgan Securities LLC is the main U.S. broker-dealer of JPMorgan Chase & Co., providing investment banking, capital markets trading, and wealth management services including brokerage, financial planning, and portfolio management. Registered with the SEC since 1965 and based in New York, the firm serves individuals, families, small businesses, and institutional clients nationwide.

J.P. Morgan Securities LLC – By the Numbers:

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lori Farley (Farley), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Farley 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 $5,500,000.00 on January 02, 2026.

Claimant\\u2019s counsel alleges that the financial advisor made unsuitable recommendations regarding the use of margin and facilitated the Claimant\\u2019s participation in cryptocurrency investments.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alberto Leyba (Leyba), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Leyba 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 $59,621.22 on May 27, 2026.

Customer alleges unsuitable recommendation and misrepresentation regarding a variable annuity. Activity dates 1/13/25\\u20131/28/25.\,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mohammad Ali (Ali), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ali 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 $229,650.00 on June 05, 2026.

Claimant alleges unauthorized trading regarding equity investment. Activity dates 10/28/25 \\u2013 5/14/26.

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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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