ANTHONY CHIARELLI

ANTHONY CHIARELLI is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 5499 NESCONSET HIGHWAY, MOUNT SINAI, NY, 11766.

ANTHONY CHIARELLI has worked at J.P. MORGAN SECURITIES LLC since October 01, 2012

Disclosure History

ANTHONY CHIARELLI has 2 Disclosure Event(s).

Date: July 08, 2008
Category: Customer Dispute
Allegations: CLIENT ALLEGES AND UNSUITABLE RECOMMENDATION RELATING TO THE LIQUIDITY OF AN AUCTION RATE SECURITY. DAMAGES ARE UNSPECIFIED.
Settlement Amount: $400,000.00
Broker Comment: ON AUGUST 13 AND 14, 2008, JPMORGAN CHASE AGREED TO A SETTLEMENT IN PRINCIPLE WITH THE NEW YORK ATTORNEY GENERAL'S OFFICE, AND THE OFFICE OF FINANCIAL REGULATION FOR THE STATE OF FLORIDA AND THE NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION TASK FORCE, RESPECTIVELY, WHICH PROVIDED, AMONG OTHER THINGS, THAT THE FIRM WOULD BUY BACK AT PAR CERTAIN AUCTION RATE SECURITIES. AS PART OF THESE SETTLEMENTS, JP MORGAN SECURITIES, INC., PURCHASED BACK THE ARS POSITION(S) AT PAR, IN ADDITION TO PAYING ACCRUED INTEREST ON THE PAR AMOUNT.

Date: January 29, 2007
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE SALE OF A FIXED ANNUITY WAS MISREPRESENTED.
Damage Amount Requested: $9,300.00

More Information

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