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 Nick Centis (Centis), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Centis 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 $10,953,568.00 on February 25, 2026.

Customer alleges unsuitable investment recommendation in investment accounts. Activity dates April 2021 – March 2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ursuline Azul (Azul), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Azul 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 $37,915.00 on February 27, 2026.

Customer alleges a mutual fund exchange resulted in an unexpected tax liability. Activity dates 6.6.25 – 6.6.25.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Milka Micic (Micic), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Micic 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 $10,000,000.00 on April 15, 2026.

Customer alleges failure to follow instructions regarding a managed account. Activity dates 03/2025 – 04/2025.

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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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