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 Jeffrey Forbes (Forbes), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Forbes 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 $38,325.25 on March 15, 2023.

Customer alleges unsuitable investment recommendation. Activity dates 2014 – 2015.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Hall (Hall), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hall 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 $5,000.00 on March 29, 2023.

Customer alleges misrepresentation regarding bond mutual fund. Activity dates 12/29/22 – 12/29/22.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harold Reinstein (Reinstein), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reinstein 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 $2,600,000.00 on July 06, 2023.

Client alleges unsuitable investment recommendations and misrepresentations from March 2022 through February 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Gopen (Gopen), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gopen 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 September 22, 2022.

Customer alleges unauthorized trading and unsuitable recommendation regarding managed account investment. Activity dates  02.14.20 – 09.22.22.

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Currently financial advisor Reagan Dekeyzer (Dekeyzer), currently employed by brokerage firm J.P. Morgan Securities LLC has been subject to at least one disclosable event. These events include one customer complaint. According to a BrokerCheck reports most of the recent customer complaints concern either corporate debt securities or alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements.  The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $26,115.00 on October 03, 2022.

Time Frame: February 4th, 2022 to May 23rd, 2022. What were the allegations against the individual? The client alleges his instructions to liquidate his hedge fund was not followed.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Feutz (Feutz), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Feutz 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 $40,673.00 on September 21, 2022.

Customer alleges Contingent Deferred Sales Charge was not disclosed with regard to a mutual fund investment. Activity dates 11.17.21 – 9.16.22.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Omar Gomez Dominguez (Gomez Dominguez), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gomez Dominguez 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 $500,000.00 on June 25, 2025.

Customer alleges misrepresentation and unsuitable recommendation regarding managed account investment. Activity dates July 2019 – September 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Ciraco (Ciraco), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ciraco 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 $450,000.00 on June 26, 2025.

Customer alleges poor advice and unsuitable recommendation regarding 529 and margin accounts. Activity dates 2015 to January 2025.

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

FINRA BrokerCheck shows a final customer complaint on July 30, 2024.

Without admitting or denying the findings, Self consented to the sanctions and to the entry of findings that in anticipation of joining an investment advisory firm he improperly removed and retained customer nonpublic personal information without his member firm’s or the customers’ consent and in contravention of the firm’s procedures. The findings stated that Self disclosed the information to the investment advisory firm he moved to and the information was used to populate new account forms and customer relationship software at the investment advisory firm. Self returned the information at his former firm’s request.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Omar Gomez Dominguez (Gomez Dominguez), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gomez Dominguez 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 $500,000.00 on June 25, 2025.

Customer alleges misrepresentation and unsuitable recommendation regarding managed account investment. Activity dates July 2019 – September 2021.

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