J.P. Morgan

Sep 13th, 2015

Permanently Barred: Advisor Cecilia Le at J.P. Morgan Securities Steals Client Money

Cecilia Carolyn Hang Minh Le of Santa Ana, California was permanently barred from “acting as a broker or otherwise associating with firms that sell securities to […]
Jan 19th, 2015

Montgomery Stockbroker Suspended Four Months For Taking Money From Elderly Client

James Gilbert, formerly of J.P. Morgan, was recently fined and suspended for borrowing money from a client. The new client was both elderly and infirm. FINRA […]