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UPDATE! Anthony Ogbonna and J.P. Morgan Investigation

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22
Jun

UPDATE! Anthony Ogbonna and J.P. Morgan Investigation

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UPDATE!  Anthony Ogbonna and J.P. Morgan Investigation

Anthony Ogbonna and J.P. Morgan Securities

 

Have you lost money with financial advisor Anthony Ogbonna of Evanston, Illinois?  We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Anthony Ogbonna. FINRA suspended Ogbonna for 15 months for failing to respond to an investigation and for failing to report a judgment against him.  FINRA was investigating Ogbonna regarding allegations that he had an undisclosed outside business activity from his employer, J.P. Morgan Securities, and that he received funds from customers for personal use.  FINRA also fined Ogbonna $15,000.

 

Anthony Ogbonna was a financial advisor and registered representative of J.P. Morgan Securities from October 2012 to March 2014.  He worked at a branch office in Evanston, Illinois.

 

Brokerage firms like J.P. Morgan Securities have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

 

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Illinois, and both of our attorneys are licensed to practice law in Illinois. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Wells Fargo Advisors, Ameriprise Financial Services, Raymond James, ProEquities, Securities America, National Securities Corp., and many others.

 

Click to view:  Ogbunna FINRA Order 6.17.16

Click to view:  Ogbonna BrokerCheck 2.26.16 (1) (1)

 

HAVE YOU LOST MONEY WITH ANTHONY OGBONNA OR J.P. MORGAN SECURITIES?

             CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION

                Denver Office: (720) 599-3505

                Seattle Office: (206) 795-5798

 

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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