| Read Time: 2 minutes | News & Articles |

DID HARLEM A. VALDEZ CAUSE YOU INVESTMENT LOSSES?

Harlem Valdez Formerly With J.P. Morgan Securities LLC and Northwestern Mutual Investment Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Harlem Valdez formerly with J.P. Morgan Securities LLC?

Harlem Valdez (CRD #4930124) who was formerly registered with J.P. Morgan Securities LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to J.P. Morgan Securities LLC, Harlem Valdez was associated with Northwestern Mutual Investment Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Harlem Valdez Customer Complaints

Harlem Valdez has been the subject of 3 customer complaints that we know about to recover investment losses. All three customer complaints were recently denied by J.P. Morgan Securities, and to date, the customers have not taken any further action.

Allegations Against Harlem Valdez

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unauthorized trading and unsuitable investment recommendations related to mutual funds.
  • Misrepresentation of mutual fund investment.
  • Unauthorized trading regarding mutual fund investments.

Harlem Valdez Red Flags & Your Rights As An Investor

Of course, Harlem Valdez did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Harlem Valdez at J.P. Morgan Securities LLC and Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Harlem Valdez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at J.P. Morgan Securities LLC and Northwestern Mutual Investment Services, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At J.P. Morgan Securities LLC Due To Harlem Valdez

If you have questions about J.P. Morgan Securities LLC, Northwestern Mutual Investment Services, LLC and/or Harlem Valdez and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

Author Photo

Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $160 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...