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Nicholas Field Fired from J.P. Morgan Securities and JPMorgan Chase Bank

Nicholas Field (CRD #: 7114811), a broker formerly registered with J.P. Morgan Securities, was recently fired following allegations of misconduct, according to his BrokerCheck record, accessed on May 11, 2023. If you have questions about his alleged conduct as a broker, keep reading.

Termination from J.P. Morgan Securities

On March 16, 2023, Nicholas Field was fired by J.P. Morgan Securities and JPMorgan Chase Bank for allegedly conducting maintenance transactions in and closing a Chase customer’s bank account without their authorization.

The bank further alleged that Nicholas Field incorrectly indicated in an internal system that the customer was present, causing the bank to keep inaccurate books and records.

FINRA Rule 2010

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

Background Information

Nicholas Field has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • 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 Nicholas Field 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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