Columbus, Ohio financial advisor Tom Bates (CRD# 1037294) allegedly gave misleading investment advice, according to a recent investor complaint. Financial...Read More
Jeffrey Lee: $40mm Complaint Against JP Morgan Advisor
Tampa, Florida financial advisor Jeffrey Lee (CRD# 4080774) recently received an investor complaint alleging that his conduct resulted in eight-figure losses. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with JP Morgan Securities, having previously been registered with Merrill Lynch.
Mr. Lee’s BrokerCheck report discloses one investor complaint. Filed in October 2023, it alleges that as a representative of JP Morgan, he failed to supervise representatives under his supervision. The pending complaint alleges damages of $40 million.
In a statement included with the complaint’s disclosure, Mr. Lee pushed back against the allegations. “I deny any and all claims of wrongdoing regarding my conduct as set forth in the Statement of Claim,” he wrote, “and specifically reject any claims I failed to supervise any employees.”
According to the Financial Industry Regulatory Authority, Jeffrey Lee holds 23 years of securities industry experience. Based in Tampa, Florida, he has been a broker and an investment advisor with JP Morgan Securities since 2015 and 2013, respectively. His past registrations include Merrill Lynch (Springfield, Massachusetts; 2009-2013), Banc of America Investment Services (Overland Park, Kansas; 2004-2009), Quick & Reilly (New York, New York; 2001-2004), and Suretrade (Lincoln, Rhode Island; 2000-2001). His credentials include the passage of nine securities industry qualifying exams: the Registered Options Principal Examination, or Series 4; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Principal Examination, or Series 24; the General Securities Representative Examination, or Series 7; the National Commodity Futures Examination, or Series 3; the Securities Industry Essentials Examination, or SIE; the Uniform Combined State Law Examination, or Series 66; and the Uniform Investment Adviser Law Examination, or Series 65. He currently holds 55 state licenses. (Information current as of November 13, 2023.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.