Investors may have suffered financial harm by securities broker Jimmy Leong (also known as James Leong and Jim Leong) [CRD: 1486689, Freehold, New Jersey], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leong worked for J.P. Morgan Securities LLC from October 1, 2012, to February 4, 2025, and Equitable Advisors LLC from February 21, 2025, to July 30, 2025. He later joined Cambridge Investment Research Advisors Inc. on July 25, 2025, and Cambridge Investment Research Inc. on April 14, 2026. Keep reading to discover more about Leong’s disclosures.
Specifically, on January 7, 2025, JPMorgan Chase Bank N.A. discharged Leong. Mainly, JPMorgan alleged that Leong engaged in variable annuity switching activity that was inconsistent with company policies. According to the firm, he also created internal records intended to avoid supervisory scrutiny.
Switching generally refers to replacing one investment or annuity with another. Regulators and firms often review switches to determine whether they were suitable for the investor and whether the transaction generated unnecessary costs or fees.
Additionally, a client of J.P. Morgan Securities LLC contested Leong’s sales practices, according to a complaint. Allegedly, Leong made misrepresentations regarding managed accounts. Therefore, J.P. Morgan Securities LLC agreed to settle the matter on October 10, 2013, by compensating the client in the amount of $7,198.20.
Particularly, a client filed a complaint about Jimmy Leong. Mainly, the client alleged that Leong failed to follow instructions. Because of this, the client allegedly incurred damages associated with mutual funds. As a result, on July 28, 2008, Chase Investment Services Corp. settled this matter by paying the client $10,000.
Do you need guidance on any investment losses relating to Jimmy Leong? You can contact Soreide Law Group online or at (888) 760-6552 and consult with a securities attorney regarding a possible recovery of your investment losses. Soreide Law Group has recovered losses for hundreds of investors throughout the US. Also, our securities lawyers work on a contingency fee arrangement and advance all costs. Leong and brokerage firms Leong worked for deny accusations of sales practice violations.
Investors may have suffered financial harm by securities broker Jimmy Leong (also known as James Leong and Jim Leong) [CRD: 1486689, Freehold, New Jersey], based on public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leong worked for J.P. Morgan Securities LLC from October 1, 2012, to February 4, 2025, and Equitable Advisors LLC […]
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