Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on January 26, 2017 indicate that former Utah-based JP Morgan Securities broker Bo Li has been permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Li (CRD# 5711148).
Bo Li has spent four years in the securities industry and was most recently registered with JP Morgan Securities in Salt Lake City, Utah (2012-2014). Previous registrations include Chase Investment Services in Salt Lake City, Utah (2011-2012) and MetLife Securities in Sandy, Utah (2009-2010). He is currently not registered with any state or firm.
According to his BrokerCheck report, Bo Li has received one FINRA sanction and was terminated from a former employer in connection to allegations of misconduct.
In July 2016 FINRA sanctioned Bo Li following allegations he “twice failed to appear and provide FINRA with on-the-record testimony in connection with an investigation into whether Li structured transactions into his personal bank accounts for the purpose of evading the filing of a Currency Transaction Report and whether Li had violated NASD or FINRA Rules in connection with certain deposits made into his personal banking accounts.” He was permanently barred from acting as a broker or otherwise associating with firms that sell securities to the public.
In 2014 Bo Li was terminated from his position at JP Morgan following allegations he failed to follow bank policy governing personal finances.
If you or someone you know has lost money investing with Bo Li, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.