Samuel Heavrin Resigned from J.P Morgan Following Allegations
Samuel Heavrin (CRD #: 6996924), a broker formerly registered with J.P Morgan Securities, has voluntarily resigned. This employment separation appears on his BrokerCheck record, as of February 7, 2022.
On December 10, 2021, Samuel Heavrin voluntarily resigned from J.P Morgan Chase Bank. This resignation followed allegations that he participated in an unapproved outside business activity.
FINRA Rule 3270 prohibits the outside business activities of registered brokers unless they have approval from their firm. Firms must approve outside businesses to supervise their broker’s recommendations. There are no outside business activities reported on his detailed BrokerCheck record, which is where outside businesses that brokers report to their firms appear.
Samuel Heavrin has passed the following exams:
- SIE – Securities Industry Essentials Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
He has only worked with J.P. Morgan (CRD #: 79) in Denver, Colorado.
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