Alfredo Banuelos Jr. (CRD: 5572634), a former securities broker in Castro Valley, California, worked for J.P. Morgan Securities LLC from October 1, 2012, to July 29, 2026. His Financial Industry Regulatory Authority (FINRA) BrokerCheck disclosures include a client dispute involving allegations of sales practice violations and possible investment losses. Here is what the client alleged and how the dispute was resolved.
A J.P. Morgan Securities LLC client filed FINRA Arbitration No. 26-00407, alleging that Alfredo Banuelos made unauthorized trades in a managed account between December 2020 and June 2025. The client claimed $96,914.37 in damages tied to the account. J.P. Morgan Securities LLC settled the matter on May 14, 2026, paying the client $65,000. Banuelos reportedly did not contribute anything toward the settlement.
Unauthorized trading generally occurs when a broker or financial advisor makes trades in a client’s account without the client’s required approval. Some clients give brokers discretionary authority to trade without seeking approval for each transaction, but that authority has limits. In a nondiscretionary account, the client generally must approve trades before they occur. These disputes can turn on what the client agreed to, how much authority the broker had over the account, what they discussed, and whether the trades stayed within those limits.
Investors who believe they lost money because of Alfredo Banuelos can contact Soreide Law Group online or call (888) 760-6552 to discuss possible recovery with a securities attorney. The firm has recovered losses for investors throughout the United States and works on a contingency fee basis, advancing all costs. Banuelos and the brokerage firms he has worked for deny allegations of sales practice violations.
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