Broker Investigation: Amy Pesina

Broker Investigation Amy Pesina JP MorganAmy Pesina (CRD#: 6503149) is a formerly registered securities broker. Most recently, she was employed as a securities representative at J.P. Morgan Securities LLC (2015-2017). On May 9th, 2018, FINRA barred Amy Pesina from the industry.

In violation of FINRA Rule 8210, Ms. Pesina declined to give on-the-record testimony and declined to produce requested financial documentation to investigators. Here, our investment fraud lawyers review the complaint against Amy Pesina. All information in this article has been sourced directly from Disciplinary Proceeding No. 2017054351601.

FINRA Complaint: Amy Pesina

In May of 2017, Amy Pesina was terminated from her position at J.P. Morgan Securities after allegations arose that she wrote personal checks to a third party, despite having insufficient funds available for the transactions. After J.P. Morgan notified industry officials that Ms. Pesina had been terminated, FINRA launched its own investigation into the possible misconduct.

FINRA requested on-the-record testimony from the broker. While she confirmed that she received the request, she has declined to cooperate with the investigation. This is a serious violation of securities industry rules. Without admitting or denying wrongdoing related to this matter, Amy Pesina consented to FINRA’s proposed sanctions, which include an indefinite ban from the associating with any member firm in any capacity.

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