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Options for Clients of Former J.P. Morgan Securities LLC Broker William Conn

Posted on Tuesday, November 23rd, 2021 at 12:37 am    

J.P. Morgan

Were you the victim of former J.P. Morgan Securities LLC broker William Conn (CRD# 1477107)? William Conn has been registered with Raymond James & Associates, Inc. in San Francisco, California since 2018. Previously, William Conn was registered with J.P. Morgan Securities LLC in San Francisco, California from 2012 to 2018.

William Conn Faces $2 Million Customer Complaint

William Conn has been the subject of three customer complaints between 2000 and 2020, one of which was denied, according to his CRD report. The most recent complaint was regarding: 

September 2020. “Client alleges mismanagement of accounts and unsuitable investments. Allegation Activity Dates: 5/8/2018 – 8/31/2020.” The customer is seeking $2 million in damages and the case is currently pending. The complaint took place while William Conn was registered with J.P. Morgan Securities LLC and was regarding common and preferred stocks and options. 

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 LLC may be liable for investment or other losses suffered by William Conn’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.