BENJAMIN CHARLES BALDWIN

BENJAMIN CHARLES BALDWIN is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 410 PARK AVENUE, NEW YORK, NY, 10022.

BENJAMIN CHARLES BALDWIN has worked at J.P. MORGAN SECURITIES LLC since October 01, 2012

Disclosure History

BENJAMIN CHARLES BALDWIN has 1 Disclosure Event(s).

Date: December 06, 2001
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES THAT THE BROKER DID NOT INFORM HIM OF ENRON'S IMPENDING BANKRUPTCY WHEN HE RECOMMENDED THE STOCK. THE CUSTOMER SEEKS DAMAGES OF APPROXIMATELY $26,000.
Damage Amount Requested: $26,000.00
Broker Comment: CUSTOMER CLAIM WAS FOUND TO HAVE NO MERIT AND DIMISSED.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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