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Thuy Pham Fired from J.P. Morgan Securities

Thuy Pham (CRD #: 4725866), a broker formerly registered with J.P. Morgan Securities, was fired from the firm and its affiliate bank, according to her BrokerCheck record, accessed on May 9, 2023. If you have questions about her alleged conduct as a broker, read on.

Termination from J.P. Morgan Securities

On March 20, 2023, Thuy Pham was fired by JPMorgan Chase Bank after allegedly enrolling a bank customer in an affiliate bank convenience product without their authorization, leading to her receiving an incentive credit from Chase.

FINRA Rule 2010

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

Background Information

Thuy Pham has passed the following exams:

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

She previously worked for the following firms:

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

Kurta Law Can Help

If you worked with Thuy Pham 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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