Securities Arbitration Lawyers BlogFINRA Bars Omar K. Henry
Omar K. Henry (CRD#: 5751648) is a former registered broker and investment advisor whose last employer was Cetera Advisors LLC (CRD#:10299) of New York, NY. His previous employers include J.P. Morgan Securities LLC (CRD#:79) of Franklin, NJ, and Chase Investment Services Corp. (CRD#:25574) of Sussex, NJ. He has been in the industry since 2010.
On 09/27/2018 and 10/22/2018, FINRA sent two Notices of Suspension to Henry after he failed to respond to a request for information. On 12/31/2018, after failing to request termination of his suspension, FINRA barred Henry indefinitely, and in all capacities. No additional information is available.
On 4/9/2018, a customer filed a dispute alleging “unsuitable investments,” requesting damages of $451,844.09. No additional information is available, and this claim is currently “pending.”
On 4/2/2015, Omar K. Henry voluntarily resigned from J. P. Morgan Securities. Although the firm claims he was “under investigation for affixing a customer’s signature to a switch letter,” Henry denies the claim, and states there was never any investigation.
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