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

FINRA BrokerCheck shows a pending customer complaint on May 12, 2026.

Claimant alleges exercise of discretion and unsuitable trading. Activity dates January 2020- March 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Martin Jankowski (Jankowski), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Jankowski 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 $265,000.00  on May 23, 2026.

Customer alleges unsuitable investment recommendation regarding managed account. Activity dates 7/8/2016 – 7/8/2016

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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 one disclosable event. These events include one customer complaint, 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 Mary Duncan (Duncan), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Duncan 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 $8,450.00 on April 03, 2026.

Customer alleges misrepresentation regarding managed account. Activity dates 2.13.26 \\u20132.13.26\,

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

FINRA BrokerCheck shows a pending customer complaint on May 14, 2026.

Customer alleges transfer and liquidation of an ETF resulted in a tax liability that was not in their best interest. Activity dates 3/12/25 – 3/20/25.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Kuhlman (Kuhlman), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kuhlman 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 $267,723.00 on May 13, 2026.

Customer alleges poor recommendation regarding managed account. Activity dates 12/4/25 \\u2013 5/13/26.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Haynes (Haynes), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Haynes 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 $44,734.15 on April 29, 2026.

Customer alleges unsuitable investment recommendation. Activity dates 6/26/23 – 6/27/23.

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New York, NY 10017
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Chicago, IL 60613
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#1
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