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William Casper Fired from J.P. Morgan Securities

William Casper (CRD #: 7144028), a broker formerly registered with J.P. Morgan Securities, was fired from the firm, according to his BrokerCheck record, accessed on September 17, 2022. Read on to learn more about his conduct as a broker and which FINRA rules he allegedly violated. 

Termination from J.P. Morgan Securities

On July 22, 2022, William Casper was fired by JPMorgan Chase Bank after he allegedly accessed bank customer profiles and provided confidential customer information to an unauthorized third party, resulting in fraudulent transactions in these customers’ accounts. Firms are required to safeguard their customer’s information under Regulation S-P.

Investors should regularly review their account statements to catch any potentially fraudulent transactions. 

FINRA Rule 2010

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

Background Information

William Casper has passed the following exams:

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

He previously worked for J.P. Morgan Securities (CRD#:79).

Kurta Law Can Help

If you worked with William Casper 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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