DID ALAN ERTEL CAUSE YOU INVESTMENT LOSSES?
About Alan Ertel of J.P. Morgan Securities LLC?
Alan Ertel (CRD #1792720) located in New York, New York, is currently employed with J.P. Morgan Securities LLC as a registered broker since July 1, 2002 and as an investment adviser since March 9, 2020. He has over 35 years of experience in the securities industry, having previously worked at Lehman Brothers Inc., SG Cowen Securities Corporation, and Cowen & Co. Ertel has passed two general industry/product exams and two multi-state securities law exams, including the Series 7 (General Securities Representative Exam) and the Series 65 (Uniform Investment Adviser Law Exam). No principal or supervisory exams were noted in his qualifications. He is currently licensed in 53 U.S. states and territories and registered with 26 self-regulatory organizations (SROs).
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Alan Ertel Customer Complaints and Reviews
Alan Ertel has one customer dispute disclosed in his BrokerCheck record.
- Filing Date: December 2, 2024
- Firm: J.P. Morgan Securities LLC
- Complaint: The customer alleges that investment transactions executed between February 1, 2022, and September 20, 2023, were not in her best interests.
- Product: Equity – Listed (Common & Preferred Stock)
- Claimed: $904,214
- Status: Pending – No arbitration or civil litigation reported at this time
Allegations Against Alan Ertel
- The pending customer dispute involves suitability concerns, where the client claims that transactions executed were not in her best interests.
- The alleged damages amount to $904,214, a significant sum that suggests a potential large-scale trading issue or multiple transactions leading to financial loss.
- Equity investments, including common and preferred stocks, can involve substantial risk, and disputes regarding these products often arise from concerns about risk exposure, lack of diversification, or speculative investment strategies.
- As the case is still pending, no determination of wrongdoing has been made, and the dispute may result in a settlement, dismissal, or arbitration ruling.
- Investors should be aware that pending claims do not imply guilt but highlight areas where due diligence is essential before working with a financial professional.
Alan Ertel Red Flags & Your Rights As An Investor
Of course, Alan Ertel did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Alan Ertel at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Alan Ertel has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Alan Ertel
If you have questions about J.P. Morgan Securities LLC and/or Alan Ertel and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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