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.
Kurta Law Can Help
If you have worked with Samuel Heavrin and have concerns about your investments, don’t hesitate to contact us today at 877-600-0098 or email@example.com for a free consultation.
For nearly 20 years, Kurta Law has advocated on behalf of investors who have lost money following broker fraud or misconduct. Kurta Law is a nationally recognized law firm and exclusively represents investors on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Our attorneys will work tirelessly to restore your lost funds and get your financial future back on track.