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 William Whitworth (Whitworth), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Whitworth 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 $111,748.00 on May 29, 2025.

Customer alleges unsuitable investment recommendation. Activity date July 11, 2024.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ihab Elibiary (Elibiary), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Elibiary 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 $49,051.00 on July 20, 2023.

Client, through counsel, alleges misrepresentation regarding variable annuity investment. Activity dates 4.25.22 – 4.10.23.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Garrett Tognozzi (Tognozzi), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tognozzi 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 $75,000.00 on August 18, 2023.

Customer alleges misrepresentation and unsuitable recommendation regarding managed account investment. Activity dates 11.1.19 – 11.1.19.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Thornton (Thornton), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thornton 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 $691,000.00 on August 25, 2023.

Customer alleges failure to supervise. Activity dates 2017 – 3/2023.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alan Au (Au), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Au 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 $50,000.00 on September 06, 2023.

Claimant believes this investment was unsuitable.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Luis Grullon (Grullon), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grullon 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 $17,254.00 on September 27, 2023.

Customer alleges unauthorized trading regarding managed account investment. Activity dates 9.14.23 to 9.27.23.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenyon Knight (Knight), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Knight 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 $7,507.26 on November 21, 2023.

The customer alleges unauthorized trading. Activity dates 10.18.23 – 10.18.23.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Allen (Allen), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Allen 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 $100,000.00 on December 07, 2023.

Claimant alleges violations with respect to the type of accounts opened, suitability of investment recommendations, and supervision of her accounts and financial advisor. Activity dates 12/3/21 – 11/6/23.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Franz Warren (Warren), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Warren 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 $100,000.00 on December 07, 2023.

Claimant alleges violations with respect to the type of accounts opened, suitability of investment recommendations, and supervision of her accounts and financial advisor. Activity dates 12/3/21 – 11/6/23.

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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 2 disclosable events. These events include 2 customer complaints, alleging that Turley 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 $5,000,000.00 on January 03, 2024.

Claimant alleges exercise of discretion and unsuitable trading. Activity dates 2011 – 2019.

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295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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