Haselkorn & Thibaut has initiated an independent investigation into Christina Lee (CRD# 7318401), a financial advisor based in San Francisco, California, currently registered with JP Morgan Securities. Investors seeking up-to-date and impartial guidance regarding recent investor complaints or questions about the advisor are encouraged to contact Haselkorn & Thibaut at 1-888-885-7162 for a complimentary consultation. With more than 50 years of collective experience, an impressive 98% success rate, and millions recovered for clients, Haselkorn & Thibaut is dedicated to advocating for investor rights nationwide—operating exclusively on a no recovery, no fee basis.
Understanding the Recent Complaint Against Christina Lee of JP Morgan Securities
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Recently, a significant investor complaint was filed against Christina Lee in November 2025, alleging damages totaling over $90 million. According to public regulatory records, this complaint relates to “unsolicited trades that resulted in a margin deficit,” with specific accusations that Ms. Lee violated FINRA Conduct Rules of Fair Practice and the SEC’s Regulation Best Interest while acting as a representative of JP Morgan Securities in San Francisco, California. The case is currently marked as pending.
| Advisor | Broker-Dealer | Location | Complaint Date | Alleged Damages | Status | Summary |
|---|---|---|---|---|---|---|
| Christina Lee (CRD# 7318401) | JP Morgan Securities | San Francisco, CA | Nov 2025 | $90,800,000 | Pending | Alleged violation of FINRA rules and Regulation Best Interest regarding unsolicited trades, leading to a margin deficit. |
Details of the Allegations
The pending claim against Christina Lee specifically references:
- Violations of FINRA Conduct Rules—including rules designed to protect investors from unsuitable recommendations, misrepresentation, or deceptive practices.
- SEC’s Regulation Best Interest (Reg BI)—which requires that financial advisors always act in the best interest of the client when making investment recommendations.
- Unsolicited Trades—transactions initiated that allegedly resulted in a substantial margin deficit for the claimant.
Among the important FINRA Rules allegedly violated are:
- FINRA Rule 2111 — suitability, ensuring recommendations match the investor’s needs and background;
- FINRA Rule 2020 — prohibiting manipulative, deceptive, or fraudulent practices;
- FINRA Rule 2010 — upholding high standards of commercial honor and equitable trade.
Christina Lee’s Professional Background and Qualifications
Christina Lee has four years of securities industry experience, with her current registration at JP Morgan Securities in San Francisco since 2022. Before joining JP Morgan, she was registered with Morgan Stanley (2021 – 2022). Christina Lee has passed the following securities qualifying exams:
- Securities Industry Essentials Examination (SIE)
- General Securities Representative Examination (Series 7TO)
- Uniform Combined State Law Examination (Series 66)
She holds registrations across 55 state jurisdictions.
How to Verify Complaints and Regulatory Actions for Christina Lee
Investors taking an active role in protecting their interests should regularly verify any public records regarding complaints, lawsuits, or regulatory actions involving financial professionals. Here are recommended steps:
- FINRA BrokerCheck: Visit FINRA BrokerCheck. Search using “Christina Lee” or her CRD# 7318401. Review the “Disclosures” section for any pending or past customer complaints, regulatory actions, or financial judgments.
- SEC Filings: The SEC’s EDGAR system and litigation archives provide records of enforcement actions and administrative proceedings.
- Public Court Records: Federal and state court websites (such as PACER) list civil complaints, including breach-of-fiduciary-duty cases.
- Online Search: Search for news reports or announcements using terms such as “Christina Lee JP Morgan Securities complaint.”
Comprehensive Overview of Complaints
As of December 27, 2025, there is one pending investor complaint disclosed against Christina Lee:
- November 2025: Claim alleges regulatory violations involving unsolicited trades—damages of $90.8 million sought.
There are no reported regulatory actions, civil judgments, terminations for cause, or additional customer complaints in her current FINRA BrokerCheck file.
Red Flags to Consider for Investors
- High Dollar Value Complaint: The amount alleged in the claim ($90 million+) is highly significant relative to industry norms.
- Rule Violations Alleged: Direct references to breaches of FINRA rules and SEC regulations are serious.
- Pending Status: The dispute has yet to reach a resolution, making ongoing monitoring crucial.
- Recent Industry Tenure: With a relatively short career and a large complaint filed, increased diligence is encouraged.
Protecting Your Interests as an Investor
If you have invested with Christina Lee at JP Morgan Securities—or are considering a relationship with this advisor—it’s prudent to seek an independent review of your portfolio or any communications you have received. Regulatory filings and customer complaints, especially of this magnitude, are critical signals for investors to inquire further.
Haselkorn & Thibaut offers free, confidential consultations to investors nationwide. With an unwavering commitment to recovering losses due to mismanagement or regulatory violations, their proven track record speaks for itself. If you have questions about a current investment, potential losses, or simply want a second opinion, act today.
Call Haselkorn & Thibaut at 1-888-885-7162 for a free, no-obligation consultation, or visit their website to get started. There are no fees unless they recover money for you.
Staying informed and proactive is the best way to protect your financial future. Review your statements, verify your advisor’s record, and reach out to trusted professionals should anything seem out of place.
