DID ALAN AU CAUSE YOU INVESTMENT LOSSES?
Alan Au Of J.P. Morgan Securities LLC Has 2 Customer Complaints For Alleged Broker Misconduct
About Alan Au of J.P. Morgan Securities LLC?
Alan Au (CRD #6337320) has a diversified experience in the securities industry, currently registered with J.P. Morgan Securities LLC since November 27, 2017. Throughout his career, Alan has been associated with multiple firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Infinex Investments, Inc., with his registrations spanning from 2014 to the present. His exam qualifications include passing 2 General Industry/Product Exams (Series 7 on August 31, 2014, and Securities Industry Essentials Examination on October 1, 2018) and 2 Multi-State Securities Law Exams (Series 63 and 66). Alan is registered with 25 Self-Regulatory Organizations and licensed in 11 U.S. states and territories.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Alan Au Customer Complaints and Reviews
Alan Au has two reported customer disputes, both of which are still pending:
- Customer Dispute 1 (09/06/2023): Related to an investment in real estate securities at Essex National Securities, LLC. The claimant alleges the investment was unsuitable with requested damages between approximately $50,000 and $99,999.99 (Case #23-02434).
- Customer Dispute 2 (05/25/2023): The client asserts that they were misled about the liquidity of an investment, also associated with Essex National Securities, LLC. Alleged damages amount to $70,240. These disputes are significant for potential investors to consider due to the nature of the allegations regarding investment suitability and misrepresentation.
Allegations Against Alan Au
- Allegation in Customer Dispute 1: Investment deemed unsuitable by the claimant, involving real estate securities, with damages estimated between $50,000 and $99,999.99.
- Allegation in Customer Dispute 2: Misrepresentation about the liquidity of an investment, leading to client dissatisfaction and a claim of $70,240 in damages. Both cases highlight issues related to the transparency and suitability of the investments offered.
Scott Thole Red Flags & Your Rights As An Investor
Of course, Alan Au 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 Au at J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Alan Au 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 Au
If you have questions about J.P. Morgan Securities LLC and/or Alan Au 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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