Articles Tagged with JP Morgan Securities

Hayato TamuraPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that California-based JP Morgan Securities broker/adviser Hayato Tamura has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Tamura (CRD# 4287868).

Hayato Tamura has spent 18 years in the securities industry and has been registered with JP Morgan Securities in Orange, California since 2012. Previous registrations include Chase Investment Services in Orange, California (2010-2012); Morgan Stanley Smith Barney in Santa Ana, California (2007-2009); AG Edwards & Sons in Torrance, California (2003-2007); and UBS Financial Services in Weehawken, New Jersey (2000-2003). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on February 6, 2001; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on December 4, 2000. He is a registered broker and investment adviser with ten US states: Arizona, California, Colorado, Idaho, Nevada, Pennsylvania, Texas, Utah, Virginia, and Wyoming.

According to his BrokerCheck report, he has received one pending customer complaint and one denied customer complaint.

Ronald WallPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that Pennsylvania-based JP Morgan Securities broker/adviser Ronald Wall has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wall (CRD# 2245306).

Ronald Wall has spent 26 years in the securities industry and has been registered with JP Morgan Securities in Philadelphia, Pennsylvania since 2013. Previous registrations include Morgan Stanley in West Conshohocken, Pennsylvania (2009-2013); Citigroup Global Markets in West Conshohocken, Pennsylvania (2008-2009); UBS Financial Services in Conshohocken, Pennsylvania (2001-2008); Investec PMG Capital in New York, New York (1996-2001); Pennsylvania Merchant Group (1996); and Schroder Wertheim & Company in New York, New York (1992-1996). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 12, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on June 9, 1992. He is a registered broker and investment adviser with 27 US states and territories: Arizona, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Iowa, Maryland, Massachusetts, Michigan, Missouri, Nevada, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, and Virginia. His self-regulatory organization (SRO) registrations include: BOX Exchange LLC, FINRA, Investors’ Exchange LLC, NYSE American LLC, Nasdaq BX, Nasdaq GEMX, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.

John TorresPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 16, 2018 indicate that former California-based JP Morgan Securities broker John Torres has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Torres (CRD# 6322231).

John Torres has spent four years in the securities industry and was most recently registered with JP Morgan Securities in Woodland Hills, California (2014-2018). He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 25, 2014; SIE (Securities Industry Essentials Examination), which he obtained on August 20, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 9, 2014. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two pending customer complaints and was recently discharged from his former employer in connection to alleged rule violations.

Trevor Rahn

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 15, 2018 indicate that former California-based JP Morgan Securities broker/adviser Trevor Rahn was recently discharged from his former employer in connection to alleged rule violations and has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rahn (CRD# 2196155).

Trevor Rahn has spent 26 years in the securities industry and was most recently registered with JP Morgan Securities in Los Angeles, California (2010-2018). Previous registrations include Deutsche Bank Securities in Los Angeles, California (2008-2010); Morgan Stanley & Company in Beverly Hills, California (2007-2008); Morgan Stanley DW in Beverly Hills, California (1999-2007); and Merrill Lynch in New York, New York (1992-1999). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 16, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 16, 1992; SIE (Securities Industry Essentials Examination), which he obtained on September 27, 2018; Series 31 (Futures Managed Funds Examination), which he obtained on April 27, 2004; and Series 7 (General Securities Representative Examination), which he obtained on January 7, 1992. He is currently not registered with any state or firm.

According to his BrokerCheck report, he was recently discharged from his former employer in connection to alleged rule violations and has received one customer complaint.

Jerry DillonPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 14, 2018 indicate that California-based JP Morgan Securities broker/adviser Jerry Dillon is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Dillon (CRD# 5112221).

Jerry Dillon has spent 12 years in the securities industry and has been registered with JP Morgan Securities in El Segundo, California since 2012. Previous registrations include Chase Investment Services Corporation in El Segundo, California (2011-2012); Morgan Stanley Smith Barney in Beverly Hills, California (2009-2011); Morgan Stanley & Company in Beverly Hills, California (2008-2009); and Merrill Lynch in El Segundo, California (2006-2008). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on May 19, 2006; Series 31 (Futures Managed Funds Examination), which he obtained on December 31, 2008; and Series 7 (General Securities Representative Examination), which he obtained on April 28, 2006. He is a registered broker and investment adviser with 13 US states and territories: Arizona, California, Colorado, Florida, Georgia, Illinois, Missouri, Nevada, New York, Pennsylvania, Texas, Washington, and Wisconsin.

According to his BrokerCheck report, he has received one pending customer complaint and one complaint that was closed with no action taken.