Misconduct Facing J.P. Morgan Brokers Siu Chun  Soreide Law Group is investigating claims on behalf of investors who purchased investments through J.P. Morgan broker Siu Chun. Here are Siu Lun E. Chun’s disclosures regarding their alleged misrepresentation of investments: January 2, 2018 Complaint Against Siu Chun Siu Lun E. Chun (CRD#: 5665707, Flushing, New York) […]

J.P. Morgan Sued By Customers Alleging Misrepresentation Zachary Aaron Morris (CRD#: 5939621, Atlanta, Georgia) has been a registered representative of J.P. Morgan Securities LLC since June 23, 2011. Morris has reported on FINRA BrokerCheck that his sales activities involving a J.P. Morgan Securities LLC customer have led the customer to file Financial Industry Regulatory Authority […]

J.P. Morgan’s Benjamin Johnson Barred For Impeding FINRA Investigation Benjamin S. Johnson (CRD #5742748, Columbus, Ohio) was a registered representative of J.P. Morgan Securities LLC between October 1, 2012 and February 17, 2017. Johnson consented to being barred by the Financial Industry Regulatory Authority (“FINRA”) from acting as a broker or associating with FINRA member […]

Recently, the Securities and Exchange Commission (SEC) announced enforcement actions taken against the following 36 municipal underwriting firms for violations in municipal bond offerings. The cases are the first brought against underwriters under the Municipalities Continuing Disclosure Cooperation (MCDC) Initiative, a voluntary self-reporting program targeting material misstatements and omissions in municipal bond offering documents. In […]