Erez Law is investigating claims regarding Nancy Sue Hogan (CRD #3170359, Jeffersonville, Indiana). Hogan recently entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) in which she was barred from association with any FINRA member in any capacity. See FINRA Case #2014040699201. From July 2005 through February 2014, Hogan was registered as an Investment Company Products and Variable Contracts Representative with J.P. Morgan Securities, LLC, and was dually employed by Chase Bank. FINRA was investigating whether Hogan has misappropriated funds from several customers of the firm and bank, and Hogan failed to provide information to FINRA during the investigation as required by FINRA Rule 8210. In entering into the AWC, Hogan neither admitted nor denied FINRA’s findings.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, J.P. Morgan Securities may be liable for investment or other losses suffered by Hogan’s customers. If you were a client of Hogan or J.P. Morgan Securities, and have suffered investment losses or financial irregularities, please contact Erez Law to explore your legal options. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies. To learn more, please call us at 888-840-1571 or complete our “contact form.”