J.P. Morgan Securities Archives

ER
May 9, 2022

Ryan Gonazles-Former J.P. Morgan Broker-Discloses Termination of Employment-Westminster, CO

Ryan Gonazles-Former J.P. Morgan Broker-Discloses Termination of Employment-Westminster, CO https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 9, 2022 October 5, 2023

Ryan Gonzales Investigation May 2022-Westminster, CO The FINRA records of Ryan Gonzales, a broker who was previously with JP Morgan Securities discloses a termination from employment. The Financial Industry Regulatory Authority (FINRA)…

ER
May 9, 2022

Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA

Derek Johnson- Former J.P. Morgan Broker- Discloses Pending $3M Customer Dispute -Brea, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g May 9, 2022 September 29, 2023

Derek Johnson Investigation May 2022-Brea, CA According to publicly available records, Derek Michael Johnson, a former J.P. Morgan broker discloses a pending customer dispute. The Financial Industry Regulatory Authority (FINRA) is…

ER
September 14, 2021

Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX

Marisa Quintero- Former J.P. Morgan Broker- Permanently Barred By Securities Regulator – Spring, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g September 14, 2021 September 14, 2021

August 2021- Spring, TX According to publicly available records, Marisa K. Quintero a currently unregistered financial advisor who was last registered with J.P. Morgan, discloses a prior regulatory event and…

Robert Rex, Esq.
July 29, 2021

Evan Schottenstein-Former J.P. Morgan Broker-Permanently Barred From FINRA- New York, NY

Evan Schottenstein-Former J.P. Morgan Broker-Permanently Barred From FINRA- New York, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 29, 2021 July 29, 2021

July 2021- New York, NY According to publicly available records Evan Schottenstein (CRD#4929175), a former stockbroker who last worked for J.P. Morgan Securities (JPMS), has been permanently barred from FINRA.…

Robert Rex, Esq.
April 23, 2021

Forouzan Pooladi-Former JP Morgan Broker-Barred from FINRA-Great Neck, NY

Forouzan Pooladi-Former JP Morgan Broker-Barred from FINRA-Great Neck, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g April 23, 2021 April 23, 2021

April 2021-Great Neck, NY According to publicly available records, former JP Morgan Securities, financial advisor Forouzan Pooladi, has been barred from the securities industry. The Financial Industry Regulatory Authority (FINRA) is the…

Robert Rex, Esq.
June 2, 2020

Jesse McGuire- Former J.P. Morgan Broker-Barred by Securities Regulator- Humble, TX

Jesse McGuire- Former J.P. Morgan Broker-Barred by Securities Regulator- Humble, TX https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g June 2, 2020 June 2, 2020

April 2020- Houston, TX The FINRA records of Jesse O. McGuire, a broker previously employed by J.P. Morgan Chase Bank, disclose a regulatory event resulting in his bar from the securities…

Robert Rex, Esq.
January 2, 2020

John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA

John Torres-FormerJP Morgan Broker- Discloses Pending Customer Disputes- Northridge, CA https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 2, 2020 January 2, 2020

January 2020 – Northridge, CA According to publicly available records John Luis Torres (CRD#6322231) , a former stockbroker discloses a regulatory event resulting in his bar from the industry , 2 pending…

Robert Rex, Esq.
May 3, 2018

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas

Charlotte Guin-Former J.P. Morgan Securities Broker-Subject of $10M+ Lawsuit-Huffman, Texas https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 3, 2018 May 3, 2018

May 2018- Huffman, Texas According to FINRA records, Charlotte A. Guin, a former stockbroker who was last employed by J.P. Morgan Securities , disclose a prior regulatory event a termination from employment…

Robert Rex, Esq.
March 27, 2018

Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY

Richard Minichino-Former NEXT Financial Group Broker-Terminated From Employment-Wappingers Falls, NY https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 27, 2018 March 27, 2018

January 2019- Wappingers Falls, NY The FINRA records of Richard V. Minichino , a former stockbroker who was last employed by NEXT Financial Group , disclose that he was barred by securities regulators, a recent…