BARRY JON FISH is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 1 FEDERAL STREET, 29TH FLOOR, BOSTON, MA, 02110.
BARRY JON FISH has worked at J.P. MORGAN SECURITIES LLC since September 02, 2011
BARRY JON FISH has 2 Disclosure Event(s).
Date: March 01, 1991 Category: Customer Dispute Allegations: IN MACH OF 1991 THE CUSTOMER FILED A COMPLIANT WITH SMITH BARNEY CLAIMING CHURNING AND MISSHANDLING THE ACCOUNT. ACCOUNT WAS HANDLED FROM 1987-190 ON A DISCRETIONARY BASIS. Settlement Amount: $102,000.00 Broker Comment: SMITH, BARNEY, HARRIS, UPHAM & CO. SETTLED WITHTHE CLIENT FOR $102,000. I WAS NEVER CONSULTED IN THESETTLEMENT PROCESS. SMITH, BARNEY HAS NOW FILED ARBITRATIONAGAINST ME TO CONTRIBUTE TO THE SETTLEMENT THAT I LEARNED OFAFTER THE FACT.NOT PROVIDED
Date: December 02, 1983 Category: Criminal Charges: POOL SELLING/BOOKMAKING Disposition: NOT GUILTY Broker Comment: I WAS TEMPORARILY STAYING WITH A FRIEND INCALIFORNIA UNTIL I FOUND SUITABLE LIVING QUARTERS. APPARENTLY,MY FRIEND WAS UNDER INVESTIGATION FOR BOOKMAKING. ONE EVENINGWHILE ALONE IN THE HOUSE AN ACQUAINTANCE OF MY FRIEND CAME TOTHE HOUSE TO DROP OFF A PACKAGE. AS I TOOK THE PACKAGE FROMTHIS PERSON, I WAS IMMEDIATELY HANDCUFFED AND ARRESTED. THISWAS A CASE OF MISTAKEN IDENTY AS THE OFFICERS THOUGHT I WAS MYFRIEND. I WAS TRIED AND FOUND NOT GUILTY.
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