Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Victoria Pierce (Pierce), currently associated with J.P. Morgan Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pierce recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on February 05, 2025.
Claimant alleges that during an unspecified time frame, the FA failed to monitor the accounts which resulted in the improper transfer of funds.
