FINRA律师代表前摩根证券的客户bob200体育

Former San Francisco Financial Advisor Is Barred Following Over $100 Million in Investor Claims Filed Against JP Morgan

在FINRA律师，Shepherd Smith Edwards和Kantas（Investorlawyers.com）赢得了400万美元的金BOB体育融业监管局（FINRA）仲裁索赔之后近一年JP Morgan Securities，，，，the former star broker involved,爱德华·图里（Edward Turley），现在已被禁止该行业。特利（Turley）至少九名最近提交了客户投诉，指控未经授权和过度交易，他已同意律师资格。Turley的前客户声称他们遭受了超过1亿美元的投资损失。

The ex-San Francisco-based financial advisor was fired by JP Morgan Securities in August 2021. Last month, FINRA, which was investigating the allegations against him, asked Turley to provide testimony about his trading patterns. This would have included patterns involving margin and foreign currency, as well as the buying and selling of preferred stock and high-yield bonds. Turley declined. His refusal to testify violates FINRA Rule 8210, which requires brokers to cooperate with enforcement investigations, as well as FINRA Rule 2010, which requires high standards of commercial honor for FINRA members.

记录显示，在该行业工作了将近三十年的Turley在处理16亿美元的客户资产的同时，收入了多达3000万美元的佣金。Turley的BrokerCheck报告指出，到目前为止，有9个客户纠纷超过4000万美元。尚待待处理的之一FINRA诉讼包括迄今为止提出的最大索赔。该投诉是德克萨斯州商人提出的5600万美元仲裁索赔。索赔人还在八个数字中寻求损害赔偿的投资者损失案件。

他人的例子broker fraud misconductallegations against Ed Turley include misrepresentations, the unauthorized exercise of discretion, unsuitable investments, and selling away.

当经纪公司的疏忽损失投资者时

图里（Turley）被指控为几乎所有客户使用“千篇一律”的投资策略。Turley所谓的投资计划包括一项固定收入的信贷差价投资策略，该策略涉及优先股，高收益/垃圾债券，交易所交易资金（ETF），外国债券和Master Limited Partneys（MLPS）。为了采用这种信贷差异策略，而不是在常规保证金帐户中购买证券，据称从事外币交易以筹集资金并利用客户的帐户，以便他可以赢得一个未bob200体育公开的委员会。不仅如此，据称Turley将继续过度浓度和过度利用这些风险，流动性不佳的投资。这导致了巨大的投资损失。对于他的许多客户而言，在2020年初，在19020年初期，损失是在Covid-19大流行病开始时市场波动之后的数百万美元。

同时，据称，图里（Turley）将他的投资策略歪曲为投资者，这是一种风险较低的方法，并使他们能够获得“股权般的回报”。据称，Turley向客户放心，不必担心他在帐户中使用杠杆作用的方式，并告诉客户他们仍然能够获得资金。Turley可能还会误导客户有关其帐户的表现。

事实是，Turley正在使用高风险的投资策略。不仅如此，而且即使他们是高净值投资者，这也是一种不适合他的客户的方法。尽管Turley缺乏执行这些交易的权力，这些交易未经其客户的同意，但Turley据称仍继续行使酌处权。

High-Net-Worth Investors At Risk of Becoming the Victims of Broker Fraud

并非所有高净值的个人投资者都是成熟的投资者，这意味着他们可能无法完全了解复杂的投资或策略以及风险。即使他们是经验丰富的投资者，高净值客户拥有如此多资产的事实也可能使他们成为流氓金融专业人士和其他寻求利用它们的目标。这些甚至是经纪公司应该监督其注册代表的活动的更多原因，这些代表的活动负责管理这些投资者的资产。

How Can You File A FINRA Lawsuit Against JP Morgan Securities?

作为他被注册的经纪交易商，JP Morgan有责任正确监督最高赚钱的财务顾问Turley。这包括监视其客户帐户中的活动，并确保没有颁布不合适的建议或未经授权的交易。

Unfortunately, the fact that Turley was considered a star broker may have compelled JP Morgan Securities to ignore any red flags that showed he was engaged in broker misconduct. This is alleged broker-dealer negligence.

Our savvy FINRA lawyers are continuing to represent investors who worked with Turley in their securities fraud claims against JP Morgan Securities. To file a FINRA lawsuit for financial recovery, you need to work with skilled brokerage firm FINRA Lawyers like SSEK who have the experience and resources to go after a big Wall Street firm like JP Morgan Securities.

和FINRA律师，，，，Shepherd Smith Edwards and Kantas by your side, we can help you determine whether you have grounds for an investor loss claim. Should we agree to work together, we will prepare a solidFINRAarbitration claimon your half and fight for you. To schedule your free, no-obligation case assessment, call (800）259-9010today.