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Mickealin Cassell Terminated by JP Morgan

Mickealin Cassell (CRD #: 3103793) has been fired by JP Morgan. This disclosure appears on his BrokerCheck record, accessed on February 9, 2024. He is currently registered as an investment adviser with Maia Wealth. Keep reading if you have questions regarding this termination.

On January 2, 2024, JP Morgan fired Mickealin Cassell following allegations that he terminated the firm’s policy regarding exercising unauthorized discretion in client accounts. 

Unauthorized Trading

FINRA Rule 3260 requires brokers to receive written authorization from their clients before engaging in discretionary trading. Discretionary accounts must also be approved by the firm before this trading can occur.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of 3260 also violate FINRA Rule 2010. 

Background Information 

Mickealin Cassell has passed the following exams:

  • Series 66 Uniform Combined State Law Examination
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

During his 24 years of experience, he has registered with the following firms: 

  • JP Morgan Securities (CRD #: 79)
  • Chase Investment Services (CRD #: 25574)
  • Banc One Securities Corporation (CRD #: 16999)

Kurta Law Can Help 

If you have worked with Mickealin Cassell and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that 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. Do not let securities fraud go unchecked. Start your recovery process today.

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