Investors apparently complained about securities broker Stephen R. Mihalek [CRD: 4403050, Pepper Pike, Ohio], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Mihalek worked for J.P. Morgan Securities LLC from October 1, 2012, to January 14, 2024, and has been registered with Morgan Stanley since January 12, 2024. Read on to find out more about Mihalek’s disclosure history.
Specifically, a client filed a complaint about Stephen Mihalek. Mainly, the client alleged that Mihalek engaged in unauthorized trading. Because of this, the client allegedly incurred damages. As a result, on April 25, 2024, J.P. Morgan Securities LLC settled this matter by paying the client $45,300.49 in damages.
Also, a client of J.P. Morgan Securities LLC disputed Stephen Mihalek’s sales practices, according to a complaint dated March 7, 2014. Allegedly, Mihalek made unsuitable recommendations, resulting in damages. Therefore, the client sought compensation from J.P. Morgan Securities LLC or Mihalek in the amount of $88,000 in this matter. However, the firm denied this complaint.
Evidently, on June 7, 2008, a Chase Investment Services Corp client filed a complaint about Stephen Mihalek. Primarily, the client alleged that Mihalek recommended investments which poorly performed and gave unsuitable advice. For this reason, the client allegedly incurred damages related to mutual funds. Consequently, the client requested $6,000 in compensation from Chase Investment Services Corp or Mihalek. However, the firm denied this complaint.
Are you concerned about investments you made through Stephen Mihalek? You can contact Soreide Law Group online or at (888) 760-6552 and speak with a securities attorney about a potential recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, our securities lawyers represent investors on a contingency fee basis and advance all costs. Mihalek and brokerage firms Mihalek worked for deny allegations of sales practice violations.
FINRA sanctioned securities broker Lester Joel Hochler [CRD: 3209012, McDonough, Georgia], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Hochler worked for Cape Securities Inc. from March 17, 2016, to April 14, 2026, and joined American Global Wealth Management Inc. on December 5, 2019. He was also associated with G.F. […]
Investors might have sustained losses due to securities broker Roger Allan Roemmich [CRD: 1293322, Red Bank, New Jersey], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Roger Roemmich worked for Alexander Capital LP from October 2, 2020, to May 30, 2025, as a general securities representative. See below to learn more about […]
Investors potentially incurred losses because of securities broker Avinesh Kumar Shankar [CRD: 6232970, Roseville, California], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Avinesh Shankar worked for Pruco Securities LLC from October 9, 2019, to March 13, 2024. Investors are encouraged to continue reading to find out more about the disclosures involving Shankar […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com