Haselkorn & Thibaut, P.A., operating as Investment Fraud Lawyers, has opened a formal investigation into Mary Duncan (CRD #3001626), a financial advisor registered with J.P. Morgan Securities LLC. As dedicated investor advocates with more than 95 years of combined securities law experience, our attorneys are closely examining customer complaints and potential red flags related to Ms. Duncan’s sales activities. If you entrusted your investment portfolio to Mary Duncan or have concerns about losses in your managed account, we encourage you to review our findings below and consider reaching out for a free, confidential consultation.
Why Our Investigation Matters to Investors
Your financial future demands rigorous oversight and professional advocacy. Choosing a broker means placing your trust—and your funds—in someone else’s hands. As former Wall Street defense attorneys, we bring “insider knowledge” to identify patterns of misconduct and regulatory concerns that ordinary investors may never spot. Our primary goal is to help you maximize your recovery if you have experienced misrepresentations, unsuitability, or losses related to the actions of Mary Duncan at J.P. Morgan Securities LLC.
Mary Duncan, J.P. Morgan Securities LLC: Summary of Public Records
Table of Contents
We conducted an in-depth review of BrokerCheck and associated public databases as of June 15, 2026. The key findings regarding Mary Duncan, currently registered in Florida, are outlined below.
| Disclosure | Description |
|---|---|
| Customer Dispute |
|
Based on BrokerCheck, Mary Duncan’s regulatory history does not currently reflect any other customer-initiated arbitration claims, regulatory actions, civil litigation, or criminal charges. However, the presence of a settled misrepresentation dispute is a significant red flag that merits investor attention and further analysis.
Understanding the Regulatory Framework: Why Misrepresentation Matters
Financial advisors like Mary Duncan are bound by strict industry rules designed to protect your interests. Two primary regulations are in focus in this investigation:
- FINRA Rule 2020: Prohibits the use of manipulative, deceptive, or other fraudulent devices in securities transactions. Even a single claim of misrepresentation could indicate violations of fundamental investor protections.
- FINRA Rule 2111 (Suitability): Requires that all brokerage recommendations align with the investor’s specific objectives, risk tolerance, financial profile, and investment horizon.
Additionally, the U.S. Securities and Exchange Commission’s Regulation Best Interest (Reg BI) mandates that brokers act in your best interests—placing your goals ahead of any product incentives, firm quotas, or conflicts of interest. Brokers must disclose all material facts and carefully consider every recommendation’s costs, risks, and alternatives before acting on your behalf.
Red Flags: The Customer Dispute Against Mary Duncan
The dispute against Mary Duncan reported the following circumstances:
- A customer alleged that Ms. Duncan directly misrepresented details of a managed account on or around February 13, 2026.
- The customer sought $8,450 in damages—a claim significant enough to require a full internal and regulatory review.
- The complaint settled for $2,059.15, signaling that the complaint was not dismissed as baseless.
- Mary Duncan’s BrokerCheck report lists her individual financial contribution to the settlement as $0.00, indicating the settlement was likely paid by the firm or a related entity.
While one complaint does not necessarily confirm a pattern of misconduct, these facts should prompt vigilance among investors who worked with Ms. Duncan or other representatives at J.P. Morgan Securities LLC.
Steps for Investors: How to Protect Yourself and Recover Losses
Are you concerned about the recommendations or management of your account by Mary Duncan or another J.P. Morgan Securities LLC advisor? Here’s how you can verify, act, and protect your funds:
- Review Your Transaction History: Compare statements before and after each recommendation. Look for unexplained changes, excessive fees, or suitability red flags.
- Consult FINRA BrokerCheck: Enter Mary Duncan’s name or CRD number (3001626) to review all current disclosures, complaints, and disciplinary reports.
- Document Your Concerns: Create a time-stamped record of your communications, investment changes, and related product recommendations.
- Reach Out for an Attorney Review: Our firm offers confidential, no-cost consultations. We can help you evaluate if your losses are the result of misrepresentation, unsuitable investments, or other violations.
Why Choose Our Firm?
- 98% success rate across hundreds of investor recoveries
- Over $520 million of client funds involved in securities matters
- Top 2% peer-reviewed, Martindale-Hubbell AV Preeminent rated
- Super Lawyers-designated attorneys fighting for your recovery
- Insider knowledge as former Wall Street defense counsel
- 5.0-star client reviews and “No recovery, no fee” promise
We have represented investors against major Wall Street firms nationwide. If you have questions regarding Mary Duncan or J.P. Morgan Securities LLC, you are not alone. Every inquiry is confidential and carries no obligation.
Free, Confidential Consultation: Start Your Recovery Now
If you lost money or suspect misrepresentation or unsuitability by Mary Duncan—especially in Florida or involving J.P. Morgan Securities LLC—our attorneys are ready to scrutinize your claim and fight for your recovery. Call 1-888-885-7162 now or contact us online for a free consultation with experienced securities lawyers committed to protecting and recovering your funds. The path to accountability and recovery begins with your first step.
