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 Alfredo Banuelos (Banuelos), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Banuelos 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 $96,914.37 on March 06, 2026.

Claimant claims unauthorized trading regarding managed account investment. Activity dates December 2020 – June 2025.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ryan Ishak (Ishak), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ishak 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 $8,500.00 on March 18, 2026.

Customer alleges misrepresentation regarding corporate debt investment. Activity date March 15, 2025,

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Avinash Alwani (Alwani), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Alwani 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 $29,595.52 on March 25, 2026.

Customer alleges misrepresentation regarding variable annuity investment. Activity date January 7, 2026.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Steven Simoneaux (Simoneaux), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Simoneaux 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 $20,568.71 on April 01, 2026.

Customer alleges unsuitable investment recommendation. Activity dates 4/24/26 – 5/1/25.

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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 April 23, 2026.

Claimant alleges exercise of discretion  and unsuitable trading. Activity dates July 2015 –  September 2021.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elizabeth Rahn (Rahn), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, 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 $15,863.00 on April 25, 2020.

Client alleges misrepresentation and suitability regarding managed account investment. Activity dates  04/17/2020-04/21/2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jason Lee (Lee), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $12,722.00 on May 13, 2020.

Client alleges misrepresentation regarding mutual fund investment. Activity dates 11/04/2019-11/04/2020.

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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 one disclosable event. These events include one customer complaint, 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 Charles Hann (Hann), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 12, 2021.

Client alleges his stock  transfer was initiated on the wrong day which caused him to lose his pending dividend payment. The activity occurred between November 17, 2020 and December 3, 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Frank Tenteromano (Tenteromano), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tenteromano 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 $268,354.69 on July 24, 2025.

Customer alleges unsuitable investment recommendation. Activity dates December 2021 to July 2023.

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