Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Salter (Salter), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Salter 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 $2,126,000.00 on December 14, 2020.
Claimant has alleged unauthorized trading by accepting trade instructions from one account Trustee. Activity date 03/16/2020.