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Mary Morency Fired from J.P. Morgan Securities Following Alleged Misconduct

Mary Morency (CRD #: 6989587), a broker formerly registered with J.P. Morgan Securities, was fired from that firm and its affiliate bank, according to her BrokerCheck record, accessed on June 7, 2023. Keep reading if you have questions about her alleged conduct as a broker.

Termination from J.P. Morgan Securities

On April 21, 2023, Mary Morency was fired J.P. Morgan Securities and JPMorgan Chase Bank after allegedly engaging in the following forms of misconduct:

  • Opening a certificate of deposit business account without all business managers present
  • Falsely indicating in a bank system that she had an Add Member form signed by these managers, causing the bank to keep inaccurate books and records
  • Removing a form containing customer information from her branch without authorization

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of many other rules may also qualify as violations of FINRA Rule 2010.

Background Information

Mary Morency has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 6TO – Investment Company Products/Variable Contracts Representative Examination
  • Series 7TO – General Securities Representative Examination
  • SIE – Securities Industry Essentials Examination

She previously worked for the following firms:

  • J.P. Morgan Securities (CRD#:79)
  • Equitable Advisors (CRD#:6627)
  • W&S Brokerage Services (CRD#:8099)
  • Morgan Stanley (CRD#:149777)

Kurta Law Can Help

If you worked with Mary Morency 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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