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Shmuel “Sam” Maya: $75K Complaint Against Miami Beach Advisor
JP Morgan Securities advisor Shmuel Maya (CRD# 6043845) recently received an investor complaint alleging his conduct resulted in losses. Also known as Sam Maya, Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in Miami Beach, Florida.
Mr. Maya’s BrokerCheck report discloses one investor complaint. Filed in July 2022, it alleges that as a representative of JP Morgan Securities, he engaged in the claimant in a “securities transaction outside the scope of his relationship with the firm,” JP Morgan Securities. The complaint, which involved an investment in “digital assets,” alleged damages of $75,000 and was denied by the firm.
For reference, FINRA Rule 3280 prohibits brokers like Mr. Maya from engaging in private securities transactions—that is, transactions involving products unapproved by their firm—without providing prior written notice to their member firm, and, in cases where they have received or may receive selling compensation for the transaction, without receiving written approval from their member firm. Private securities transactions can involve many risks for the investor, as they may involve investments for which the firm has not conducted due diligence. Brokers who recommend private securities transactions may be held liable in the event of losses.
According to the Financial Industry Regulatory Authority, Shmuel Maya holds 10 years of securities industry experience. Based in Miami Beach, Florida, he has been a broker and an investment advisor with JP Morgan Securities since 2012 and 2014, respectively. Also known as Sam Maya, he is registered with the firm’s office in Aventura, Florida as well. He was previously registered with Chase Investment Services in Aventura, Florida from May 2012 until October 2012. His credentials include the passage of four securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Delaware, Florida, Georgia, Illinois, Indiana, Louisiana, Massachusetts, Mississippi, Nevada, New Hampshire, New Jersey, New York, Pennsylvania, Puerto Rico, South Carolina, and Texas. (Information current as of August 17, 2022.)
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.