Baptiste was being investigated based on alleged participation in unapproved outside business activity.
Nedjeen Baptiste (CRD#: 6308317) was registered as a broker with JP Morgan from 2015 until 2020. JP Morgan is the only firm Baptiste was employed by during her career.
Baptiste has one disclosure on her BrokerCheck report.
March 2021 Regulatory Judgment
- Status: Final
- Initiated By:
- Allegations: Time frame: 2017-2019 Claimant’s counsel alleges unsuitability and misrepresentation with respect to recommendations to invest in and hold an options overlay strategy.
- Resolution: $750,000.00
- Sanctions: Bar
- Registration Capacities Affected: All Capacities
- Duration: Indefinite
- Start Date: 3/9/2021
Contact Us Today
The Sonn Law Group is currently investigating allegations surrounding Nedjeen Baptiste. We represent investors in claims against negligent brokers and brokerage firms. If you or your loved one experienced investment losses, we are here to help. For a free consultation, please call us now at 866-827-3202 or complete our contact form.