J.P. Morgan Securities

The rep declined to provide the regulator with documents it needed to investigate allegations that she converted $13,000 for personal use.

First-quarter revenue jumped 9% year-over-year even as the number of advisers fell by 10%.

The elite brokerage unit picked up three veteran advisers, On Wall Street reports exclusively.

The rep was suspended for 15 months and fined $15,000 for engaging in the purported scheme and accepting a $50,000 cash gift from a customer, FINRA claimed.

The new hires joined the wirehouse from J.P. Morgan Securities, On Wall Street learns exclusively.

Chris Harvey will oversee 420 advisers managing $110 billion in total client assets.

The rep initially alleged his wallet had been stolen and someone forged his signature. He later claimed he must have been drugged.

FINRA chided the rep for following through on trading instructions received via email from bank employees without confirming the transactions with the customers.

Seven former private bankers said they functioned less as advisers than as salespeople.

FINRA barred the former J.P. Morgan rep for allegedly using customer debit cards to steal $1,002.