LORMAN SCOTT HOOPES is currently employed as a Broker and/or Investment Adviser at J.P. MORGAN SECURITIES LLC located at 560 MISSION STREET, 24TH FLOOR, SAN FRANCISCO, CA, 94105.
LORMAN SCOTT HOOPES has worked at J.P. MORGAN SECURITIES LLC since July 02, 2010
Disclosure History
LORMAN SCOTT HOOPES has 4 Disclosure Event(s).
Date: December 05, 2008 Category: Customer Dispute Allegations: COMPLAINT ALLEGES UNSUITABLE INVESTMENT IN AUCTION RATE SECURITIES (ARS), CONSISTENT WITH OTHER INDUSTRY-WIDE COMPLAINTS. DAMAGES NOT SPECIFIED. Settlement Amount: $2,500,000.00
Date: September 15, 2008 Category: Customer Dispute Allegations: COMPLAINT ALLEGES UNSUITABLE INVESTMENT IN AUCTION RATE SECURITIES (ARS), CONSISTENT WITH OTHER INDUSTRY-WIDE COMPLAINTS. DAMAGES NOT SPECIFIED.
Date: April 07, 2008 Category: Customer Dispute Allegations: COMPLAINT ALLEGES UNSUITABLE INVESTMENT IN AUCTION RATE SECURITIES (ARS), CONSISTENT WITH OTHER INDUSTRY-WIDE COMPLAINTS. DAMAGES NOT SPECIFIED. Broker Comment: AUCTION RATE SECURITY AMOUNT NOT DETERMINABLE.
Date: February 13, 2008 Category: Customer Dispute Allegations: COMPLAINT ALLEGES UNSUITABLE INVESTMENT IN AUCTION RATE SECURITIES (ARS), CONSISTENT WITH OTHER INDUSTRY-WIDE COMPLAINTS. DAMAGES NOT SPECIFIED. Broker Comment: AUCTION RATE SECURITY AMOUNT NOT DETERMINABLE.
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