Our Staff has compiled our research into a database of FINRA Broker Disclosures for J.P. Morgan Institutional Investments Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Kristy Dinh | 4207967 | 1 | 04/16/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sean B Flaherty | 6503136 | 1 | 01/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew R Werner | 5726084 | 1 | 08/19/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Arthur Ferguson | 6014895 | 1 | 02/18/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Christopher Baker | 4970834 | 1 | 04/01/2014 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jeremy L Rich | 4233901 | 1 | 08/04/2011 | Customer Dispute | Closed-No Action | $200,000.00 | $0.00 | See FINRA Report |
| Michael J Yanocha | 4975107 | 1 | 10/01/2007 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Michael Burman | 3172032 | 1 | 05/07/2004 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| James Patrick Shanahan | 1501578 | 1 | 07/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dustin Michael Reid | 4023933 | 1 | 06/01/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |