BRIAN JOSEPH CARLIN

BRIAN JOSEPH CARLIN is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 383 MADISON AVENUE, NEW YORK, NY, 10179.

BRIAN JOSEPH CARLIN has worked at J.P. MORGAN SECURITIES LLC since October 18, 2013

Disclosure History

BRIAN JOSEPH CARLIN has 1 Disclosure Event(s).

Date: April 02, 1998
Category: Customer Dispute
Allegations: CHURNING, FAILURE TO FOLLOW INSTRUCTIONSTO-WIT: FAILURE TO ENTER LIMIT SELL 1500 WDC @ $49.50. ALLEGES$4,800.00 UNREALIZED PROFIT PLUS $9,400.00 LOSS.
Damage Amount Requested: $14,200.00
Broker Comment: DETERMINED THERE IS NO MERIT TO CLAIM. NOPAYMENT, NO SETTLEMENT.CUSTOMER SPOKE W/THE BRANCH OFFICE MANAGER ANDTOLD HIM THAT HE (CUSTOMER) DID NOT GIVE ME A DIRECT ORDER TOENTER A LIMIT SELL OF 1500 WDC. DALY ACKNOWLEDED THAT GRO9WTHAND SPECULATION WERE HIS INVESTMENT OBJECTIVE AND THAT HE HAS AN AGGRESSIVE RISK TOLERANCE. HE WAS AWARE OF THE RISKSINVOLVED WITH THIS TRADING STRATEGY, YET MADE 6 ADDITIONALPRUCHASES; OLDE DID NOT PROVIDE RESEARCH COVERAGE ON 4 OF THE SECURITIES.

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