Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Javier Gonzalez (Gonzalez), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gonzalez 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 $5,000.00 on January 22, 2023.
Trustee of a marital trust sought to exercise a death put claim on a note held in the trust following the death of beneficial owner. Death put was not paid in 2022 based upon limitations upon the amount of securities that can be liquidated in a certain time period. Trustee claimed that sale of the particular note was inappropriate because of the limitations placed upon the death claim process.