FINRA Bars JP Morgan Broker In Investigation

Helle Romer Bannister of Harrison New York a stockbroker formerly employed by J.P. Morgan Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that he failed to provide FINRA with information that was requested of him by the regulator. Case No. 2016052638801 (Oct. 10, 2017).

Bannister was initially suspended by FINRA on July 31, 2017. He was provided until October 9, 2017 to cooperate with FINRA’s requests and seek termination of his suspension; however, Bannister failed to cooperate. Bannister was automatically barred by FINRA in all capacities as a result.

FINRA Public Disclosure reveals that Bannister was terminated from J.P. Morgan on December 5, 2016 based upon allegations that he altered customer account documentation.

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