Ryan Gonzales Fired Following Unsolicited Trading Allegations
Ryan Gonzales (CRD #: 3048931), a broker registered with U.S. Bancorp Investments, Inc., was terminated from his position at JPMorgan Securities. This information is from Ryan Gonzales’s BrokerCheck record, accessed on March 16, 2022. You can find more information below about Ryan Gonzales’s conduct as a broker.
On January 3, 2022, Ryan Gonzales was permitted to resign from his position with the firm JPMorgan Securities LLC following allegations that he marked solicited trades as unsolicited.
FINRA Rules 4511 and 2010
Brokers are required to accurately mark trades. FINRA Rule 4511 states that firms “shall make and preserve books and records as required under the FINRA Rules, the Exchange Act and the applicable Exchange Act rules.”
Ryan Gonzales’s alleged unethical conduct also violates FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.
Ryan Gonzales has passed the following exams:
- Series 65 – Uniform Investment Adviser 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
He has worked for the following firms:
- JP Morgan Securities LLC (CRD #:79)
- Chase Investment Services Corp. (CRD #:25574)
- Banc One Securities Corporation (CRD #:16999)
- ING Funds Distributor, LLC (CRD #:37886)
- Janus Distributors, Inc. (CRD #:28832)
- New England Securities (CRD #:615)
Kurta Law Can Help
If you worked with Ryan Gonzales and have concerns about your investments, please contact us today at 877-600-0098 or firstname.lastname@example.org 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.