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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Guerrero | 5590561 | 2 | 03/26/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Theodore Robert Fisher | 3261685 | 2 | 02/17/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karen Foley | 5473711 | 1 | 02/05/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Isaiah Deresa | 7395196 | 2 | 01/02/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Eric Alma | 5367182 | 1 | 12/20/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Casey Seng Tear | 7720511 | 3 | 12/08/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kimberly M Gentleman | 6110123 | 1 | 10/31/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David de Sorbo | 7327039 | 1 | 09/03/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dustin Prince | 7286279 | 1 | 08/21/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Mott | 4755912 | 1 | 07/30/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |