Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Tyler Krol (Krol), previously associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one tax lien, alleging that Krol recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on February 28, 2025.
Without admitting or denying the findings, Krol consented to the sanction and to the entry of findings that he refused to provide documents and information requested by FINRA in connection with its investigation into allegations contained in a Form U5 filed by his member firm. The findings stated that the firm filed the Form U5 terminating Krol’s registration and disclosing that he had been terminated by its affiliate bank for opening two credit cards for affiliate bank customers without their knowledge or consent and charging over $31,000 for personal use.
