Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jonathan Galan (Galan), currently associated with State Street Global Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Galan 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 $100,000,000.00 on May 01, 2025.
I inherited this account from a former broker, Trevor Rahn. JPM asked if I could help with the account while they figured out a long term solution. The account was self-directed where the client made all investment decisions on their own. I would simply execute their trading instructions and charge a commission. His son [REDACTED] also had trading authority on the account and would call in orders. There was even a letter sent to the client confirming risk profile and trading activity that was occurring, which the client signed. In addition, I left JPM March of 2022 and they are saying the dates of this claim are July 2021 to December 2022, therefore, I was not at the firm for half the dates they mentioned in their complaint. I did not make any investment recommendations to this client.