Our Staff has compiled our research into a database of FINRA Broker Disclosures for J.P. Morgan Securities LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Steven C Underwood | 4533006 | 1 | 12/31/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sue Wai Lee | 5615031 | 1 | 11/24/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Erik Michael Moreno | 7480760 | 1 | 11/07/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Rosenfield | 7725936 | 1 | 10/12/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chase Gerald | 6949629 | 1 | 09/10/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adrian L Harris | 4363227 | 1 | 08/31/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Iris Mariana Valdez | 7196235 | 3 | 08/31/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Yovanka Burgos | 6895679 | 1 | 07/30/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shimea Thompson | 6306260 | 1 | 06/30/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cole Tabacchi | 7809407 | 1 | 06/22/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |