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Ashton Beck Fired from J.P. Morgan Securities

Ashton Beck (CRD #: 7474528), a broker formerly registered with J.P. Morgan Securities, was fired by the affiliate bank, according to his BrokerCheck record, accessed on August 13, 2022. If you have questions about Ashton Beck’s conduct as a broker, keep reading.

Discharge from J.P. Morgan Securities

On June 9, 2022, Ashton Beck was fired by JPMorgan Chase Bank after he allegedly violated firm policy by opening and performing a maintenance transaction on the affiliate bank account belonging to his landlord, and inaccurately recording in an internal system that the client was present for this maintenance transaction.

FINRA Rules 4511 and 2010

FINRA Rule 4511 requires firms to maintain accurate and up-to-date books and records.

Violations of this rule are also violations of FINRA Rule 2010, which require brokers to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Ashton Beck has passed the following exams:

  • Series 6TO – Investment Company Products/Variable Contracts Representative Examination
  • SIE – Securities Industry Essentials Examination

He previously worked for J.P. Morgan Securities (CRD#:79).

Kurta Law Can Help

If you worked with Ashton Beck and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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