Senior Investor’s Funds Were 100% Concentrated in Risky Offshore Investment Our Northstar Financial Services (Bermuda) investment lawyers have filed yet another FINRA arbitration claim against J.P. Morgan Securities, LLC (JPMS) over losses suffered by a foreign national. The claimant is a nun and elderly investor from Mexico who entrusted her…
J.P. Morgan Securities Will Pay $125M to the Commission J.P. Morgan has arrived at two settlements over recordkeeping and communication violations. These violations included using unapproved channels, such as WhatsApp and personal texts messages. One settlement is with the US Securities and Exchange Commission (SEC) and the other with the…
SSEK Law Firm Represented Client of Fired J.P. Morgan Securities Broker, Ed Turley, and Wins $4 Million FINRA Arbitration Award A Financial Industry Regulatory Authority (FINRA) arbitration panel in Houston, Texas has awarded a client of Shepherd, Smith, Edwards & Kantas (SSEK Law Firm at investorlawyers.com) $4 million in compensatory…
Former San Francisco Financial Advisor Costs Investors Over $62 million Our FINRA arbitration lawyers at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are continuing to investigate investors’ claims of losses sustained while working with ex-J.P. Morgan Securities LLC broker, Edward Lawrence Turley. Already, SSEK Law Firm has…
Customers of San Francisco Financial Advisor Seek More Than $62 Million in Damages Our broker misconduct attorneys at Shepherd Smith Edwards and Kantas (SSEK Law Firm at investorlawyers.com) are continuing to investigate claims of losses involving ex-J.P. Morgan Securities stockbroker, Edward L. Turley. Although Turley’s BrokerCheck record notes that he…
COVID Relief Loans Involved Undisclosed Business Outside Their Brokerage Firms According to InvestmentNews, ex-J.P. Morgan Securities broker Gloria Willis, former Merrill Lynch stockbroker Evelyn Batista, and ex-Wells Fargo financial advisor Kenric Sexton have either been barred or suspended from the securities industry. These Financial Industry Regulatory Authority (FINRA) sanctions were…
Old Mutual Investor Seeks Up To $500K in Damages An investor from Mexico has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against J.P. Morgan Securities over the losses she suffered in Old Mutual (Bermuda). The off-shore entity is owned by Greg Lindberg’s Global Bankers, which also owns Northstar…
Unauthorized Trading and Abuse of Fiduciary Duty By Older Investor’s Grandsons A Financial Industry Regulatory Authority (FINRA) arbitration panel has ruled that JP Morgan Securities (JPM) and its ex-brokers, Avi Elliot Schottenstein and Evan A. Schottenstein, must pay a senior investor $19M in her investment fraud claim over losses sustained…