JOSEPH SEFARADI

JOSEPH SEFARADI is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 60 EAST 42ND STREET, NEW YORK, NY, 10165.

JOSEPH SEFARADI has worked at J.P. MORGAN SECURITIES LLC since October 01, 2012

Disclosure History

JOSEPH SEFARADI has 1 Disclosure Event(s).

Date: November 22, 2016
Category: Customer Dispute
Allegations: Client alleges poor recommendation/poor advice regarding managed account investment. Activity dates 10/21/2015-10/21/2015.
Damage Amount Requested: $8,932.13

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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