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 Timothy Hawkins (Hawkins), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hawkins 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 $103,700,000.00 on April 30, 2024.

Client alleges unsuitable investment strategy recommendation. Activity dates July 2021- March 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Piers Cornelius (Cornelius), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cornelius 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 $103,700,000.00 on April 30, 2024.

Client alleges unsuitable investment strategy recommendation. Activity dates July 2021 – March 2024.

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

FINRA BrokerCheck shows a pending customer complaint on May 02, 2024.

Customers allege that an investment made in 2014 was unsuitable for the customers’ investment objectives and risk tolerance.

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

FINRA BrokerCheck shows a pending customer complaint on August 27, 2024.

Claimant alleged, inter alia, that investment strategy in account being used as collateral for a securities based loan was unsuitable – October 2020 through November 2022.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Yaneisy Quevedo (Quevedo), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Quevedo 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 $86,655.55 on November 18, 2024.

Customer alleges unsuitable investment recommendation. Activity dates 10.18.24 – 10.24.24.

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

FINRA BrokerCheck shows a pending customer complaint on March 05, 2025.

Claimants allege unsuitable investment recommendations.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Welsh (Welsh), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Welsh 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 $8,494.00 on March 10, 2025.

Customer alleges unsuitable investment recommendation. Activity dates 1.27.25 – 1.27.25.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Brandefine (Brandefine), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Brandefine 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 $125,000.00  on August 09, 2024.

Customer alleges unsuitable sale of alternative investment product.

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

FINRA BrokerCheck shows a final customer complaint on August 20, 2024.

Respondent Quintanar Castanon failed to respond to FINRA requests for information.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Toomey (Toomey), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Toomey 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 $51,821.01  on February 11, 2025.

Customer alleges failure to disclose fees regarding a mutual fund investment. Activity dates 12/5/24 to 2/3/25.

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New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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